Page 41 - 期貨和衍生品行業監管動態（2024年9月刊）
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期貨和衍生品行業監管動態
該不行動立場將于 2026 年 12 月 31 日或 CFTC 為解決相關非銀行互換交易
商的資本和財務報告要求可比性問題所采取的任何最終行動的生效之日到期。
CFTC Staff Extends Temporary No-Action Letter Regarding Capital and
Financial Reporting for Certain Non-U.S. Nonbank Swap Dealers Domiciled in
the EU and the UK (2024/9/20)
The Commodity Futures Trading Commission’s Market Participants Division
(MPD) today announced it issued a temporary no-action letter extending CFTC Staff
Letters No. 21-20 and 22-10 to certain nonbank swap dealers (SDs) domiciled in the
European Union (EU) and the United Kingdom (UK) that are the subject of pending
CFTC reviews for comparability determinations regarding capital and financial
reporting requirements.
As part of the capital and financial reporting requirements for nonbank SDs, the
CFTC adopted a substituted compliance framework that permits certain nonbank SDs
to rely on compliance with home-country capital and financial reporting requirements
in lieu of meeting all or parts of the CFTC’s capital adequacy and financial reporting
requirements, provided the CFTC finds the home-country requirements comparable to
the CFTC’s requirements.
Through CFTC Staff Letter No. 24-13, issued today, MPD is extending a
no-action position to eligible nonbank SDs domiciled in the EU and the UK that are
not covered by existing CFTC orders addressing capital and financial reporting
requirements. The no-action position is conditioned upon the nonbank SDs remaining
in compliance with applicable home-country capital and financial reporting
requirements and submitting certain financial reporting information to the CFTC.
The no-action position will expire by December 31, 2026 or the effective date of
any final CFTC action addressing the comparability of capital and financial reporting
requirements applicable to the relevant nonbank SDs.
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