Page 41 - 期货和衍生品行业监管动态（2024年9月刊）

期货和衍生品行业监管动态

该不行动立场将于 2026 年 12 月 31 日或 CFTC 为解决相关非银行互换交易

商的资本和财务报告要求可比性问题所采取的任何最终行动的生效之日到期。

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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