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期貨和衍生品行業(yè)監(jiān)管動態(tài)
change in a swap’s floating rate. This letter covers those floating rate changes that are
made under the ISDA LIBOR fallback provisions from CDOR to CORRA, but only
in the event the entity uses its best efforts to report the change by the applicable
deadline in Part 45 and in no case reports the required information later than five
business days from, but excluding, July 2, 2024.
The letter also states DMO and DOD will not recommend the CFTC take
enforcement action against an entity for failure to report under Part 43 the change in
the floating rate for a swap modified after execution to incorporate the ISDA LIBOR
fallback provisions to transition from referencing CDOR to referencing CORRA.
https://www.cftc.gov/PressRoom/PressReleases/8928-24
5. 美國商品期貨交易委員會延長對事件合約規(guī)則修訂草案的公開征求期限
(2024 年 6 月 27 日)
美國商品期貨交易委員會(CFTC)宣布,將對其事件合約規(guī)則修訂草案的
公眾征求截止期限延長至 2024 年 8 月 8 日。CFTC 此舉旨在為相關(guān)方提供更多
的時間來分析該草案并準備其反饋意見。
該草案旨在修訂 CFTC 聯(lián)邦法規(guī)第 40.11 條規(guī)定,以進一步明確哪些類型的
事件合約屬于《美國商品交易法》(CEA)第 5c(c)(5)(C)條的范圍,且與
公共利益相悖,因此不得在 CFTC 注冊的實體中或通過該實體上市交易或清算。
此外,該草案還將對 CEA 第 5c(c)(5)(C)節(jié)和 CFTC 聯(lián)邦法規(guī)第 40.11
條中“賭博”一詞作出定義并提供相關(guān)示例,如在政治競選、有獎競賽、運動員參
加的比賽中押注或冒險,或就與此類比賽或游戲相關(guān)事件的發(fā)生與否作為賭注。
草案還將確定涉及 CEA 第 5c(c)(5)(C)條款中列舉的每項活動(賭博、戰(zhàn)
爭、恐怖主義、暗殺以及違反任何聯(lián)邦或州法律的活動)的事件合約,這類事件
7