Page 15 - 期货和衍生品行业监管动态（2024年11月）
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期货和衍生品行业监管动态
risk. The approval comes at a time when the CFTC has yet to propose a strong rule to
address conflicts among affiliated CFTC-regulated entities.
“Nearly three years ago, FTX sought CFTC approval for a vertically integrated
business model. FIA warned the CFTC at that time that such a novel structure would
raise concerns about conflicts of interest from combining multiple market functions
under one roof. Three years later, these risks remain unaddressed.
“We strongly believe inherent conflicts of interest exist when one organization
controls multiple market functions – trading, clearing, intermediation and market
regulation. FIA urges the CFTC to move forward immediately on a rulemaking to
address this matter.”
https://www.fia.org/fia/articles/fia-statement-cmes-fcm-license
2. 2024 11 13
国际证监会组织（IOSCO）发布了一份关于过渡计划披露的报告。该报告由
IOSCO 的可持续金融工作组（STF）制定，探讨了过渡计划披露如何为投资者保
护和市场诚信目标提供支持，并分享了相关挑战与关键发现。这些发现为 IOSCO
及其他相关方未来的协调行动提供了方向，主要涵盖四个方面：
? 在发布过渡计划时，通过对过渡计划披露的指导来促进一致性和可比性；
? 加强对过渡计划披露的保证；
? 增强法律和监管的清晰度及监督；
? 提升能力。
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