Page 26 - 期货和衍生品行业监管动态（2024年12月刊）
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期货和衍生品行业监管动态
6. 美国商品期货交易委员会工作人员发布关于注册实体和注册人使用人工智
能的公告（2024 年 12 月 5 日）
美国商品期货交易委员会（CFTC）清算与风险、数据、市场监管以及市场
参与者相关部门发布了一份关于 CFTC 监管市场中注册实体和注册人使用人工
智能（AI）的工作人员公告。该公告提醒受 CFTC 监管的实体在使用人工智能时，
需遵守《美国商品交易法》和 CFTC 联邦法规。
CFTC 工作人员正在密切关注人工智能技术的发展及其潜在益处和风险。工
作人员重视与受 CFTC 监管实体的持续沟通，并计划将这些实体对人工智能的使
用纳入机构常规监管活动的一部分。该公告部分内容依据公众对 CFTC 工作人员
2024 年 1 月 25 日发布的人工智能征求意见公告的反馈意见而作出。【参见 CFTC
新闻稿编号：8853-24】
CFTC Staff Issues Advisory Related to the Use of Artificial Intelligence by
CFTC-Registered Entities and Registrants (2024/12/5)
The Commodity Futures Trading Commission’s Divisions of Clearing and Risk,
Data, Market Oversight, and Market Participants today issued a staff advisory on the
use of artificial intelligence in CFTC-regulated markets by registered entities and
registrants. The advisory reminds CFTC-regulated entities of their obligations under
the Commodity Exchange Act and the CFTC’s regulations as these entities begin to
implement AI.
CFTC staff is closely tracking the development of AI technology and AI’s
potential benefits and risks. Staff values its ongoing dialogue with CFTC-regulated
entities and intends to monitor these entities’ use of AI as part of the agency’s routine
oversight activities. The advisory is informed, in part, by public comments received in
response to the staff’s January 25, 2024 Request for Comment on AI. [See CFTC
Press Release No. 8853-24]
https://www.cftc.gov/PressRoom/PressReleases/9013-24
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