Page 36 - 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
approved by the MRAC, propose specific amendments to DCO Rule 18, 17 C.F.R. §
39.18 (system safeguards), and incorporation of Annex F of the Principles for
Financial Market Infrastructure: Assessment methodology for the oversight
expectations applicable to critical service providers. As noted in the recommendations,
the proposals seek to inform the Commission’s mission of promoting the integrity,
resilience, and vibrancy of the U.S. derivatives markets through sound regulation.
Recommendations on Legal Entity Identifiers at the Beneficial Account
Holder Level
The Technology and Operations working group of the CCP Risk and Governance
Subcommittee also examined the concept of the Legal Entity Identifier to align the
domestic regulatory framework with global standards that mandate the use of LEIs, or
equivalent identifiers, by beneficial account owners for daily reporting by DCOs. The
MRAC approved an amended recommendation that invites the Commission to host a
roundtable.
The subcommittee recommendations, which were approved by the MRAC,
propose a roundtable to examine CFTC Reg. §39.19 (17 C.F.R. § 39.19) and whether
CFTC Reg. §39.19 should be amended to align U.S. regulatory structure with global
standards by mandating the use of LEIs, or equivalent identifiers, by the beneficial
account owner (obtained and maintained by the beneficial account owner) for daily
reporting by DCOs; as well as the impacts of the implementation of such a proposed
rule and any affected rules.
April 9, 2024, MRAC Meeting
Earlier this year, at the April 9 MRAC meeting the MRAC members advanced
two other reports submitted by the Market Structure Subcommittee and CCP Risk &
Governance Subcommittees to be submitted to the Commission:
1.Data and Analysis Regarding FCM Capacity Trends.
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