Page 23 - 期貨和衍生品行業監管動態（2024年6月刊）

期貨和衍生品行業監管動態

Prompted by periods of market volatility including and following the global

pandemic, the Basel Committee on Banking Supervision (BCBS), the BIS Committee

on Payments and Market Infrastructures (CPMI), and the International Organization

of Securities Commissions (IOSCO) engaged to review margining practices and foster

market participants’ preparedness for high margin call and settlement volume during

market volatility events. In January, BCBS and IOSCO issued recommendations for

streamlining VM processes. They recommend firms consider the following: the legal

and operational challenges that could inhibit seamless exchange of margin and

collateral calls; granting greater flexibility in bilaterally agreed acceptable collateral;

advantages of standardization and automation of their non-centrally cleared margin

processes; and the potential benefits of third-party services to help improve

non-centrally cleared VM processes.

The GMAC recommends that the CFTC support and facilitate industry

implementation of the BCBS-IOSCO recommendations for streamlining of variation

margin practices.

https://www.cftc.gov/PressRoom/PressReleases/8918-24

5. 美國商品期貨交易委員會指控未注冊的商品基金管理人及其所有者實施期

貨欺詐和挪用行為（2024 年 6 月 6 日）

美國商品期貨交易委員會（CFTC）在田納西州西部地區地方法院對田納西

州有限責任公司 Three Bridges Trading Fund, LLC 及其所有者、總裁和經理，來

自田納西州科利維爾的 Donald Wray Rodgers 提起了民事執法訴訟，指控其實施

欺詐計劃，向商品基金參與者招攬并接受了至少 200 萬美元的資金，用于投資商

品基金。

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