Page 8 - 期货和衍生品行业监管动态（2024年4月）
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期货和衍生品行业监管动态
规则（2024 年 4 月 23 日）...................................................................................................28
CFTC Approves Final Rules on Swap Confirmation Requirements for SEFs
(2024/4/23)...............................................................................................................................29
13. 美国联邦法院判令未注册的商品基金管理人及其总裁为外汇欺诈行为支付超
过 1100 万美元的赔偿金和罚款（2024 年 4 月 26 日）.................................................... 30
Federal Court Orders Unregistered Pool Operator and its President to Pay Over
$11 Million for Forex Fraud (2024/4/26)............................................................................. 31
境外资讯——欧盟................................................................................................................34
14. 欧盟证券与市场管理局为市场参与者提供与第三国养老金计划交易的清算义
务指引（2024 年 3 月 27 日）.............................................................................................. 34
ESMA Provides Market Participants with Guidance on The Clearing Obligation
for Trading with 3rd Country Pension Schemes (2024/3/27)............................................ 34
15. 欧盟证券与市场管理局发布的新报告揭示了欧盟各地监管数据的质量和使用
情况（2024 年 4 月 11 日）...................................................................................................35
New Report Sheds Light on Quality and Use of Regulatory Data Across EU
(2024/4/11)...............................................................................................................................36
16. 欧盟证券与市场管理局展示了欧盟监管机构关于《欧盟市场基础设施监管条
例》数据质量改进的监管实践（2024 年 4 月 11 日）...................................................... 37
ESMA Shows EU Regulators’ Supervisory Practices Regarding EMIR Data
Quality Improving (2024/4/11)............................................................................................. 38
17. 七国集团网络专家组在金融领域开展跨境协同活动（2024 年 4 月 23 日）. 39
G7 Cyber Expert Group Conducts Cross-border Coordination Exercise in the
Financial Sector (2024/4/23)..................................................................................................40
境外资讯——英国................................................................................................................42
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