Page 23 - 期货和衍生品行业监管动态（2024年6月刊）

期货和衍生品行业监管动态

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. 美国商品期货交易委员会指控未注册的商品基金管理人及其所有者实施期

货欺诈和挪用行为（2024 年 6 月 6 日）

美国商品期货交易委员会（CFTC）在田纳西州西部地区地方法院对田纳西

州有限责任公司 Three Bridges Trading Fund, LLC 及其所有者、总裁和经理，来

自田纳西州科利维尔的 Donald Wray Rodgers 提起了民事执法诉讼，指控其实施

欺诈计划，向商品基金参与者招揽并接受了至少 200 万美元的资金，用于投资商

品基金。

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