Page 8 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)（2024年4月）
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期貨和衍生品行業(yè)監管動(dòng)態(tài)
規則（2024 年 4 月 23 日）...................................................................................................28
CFTC Approves Final Rules on Swap Confirmation Requirements for SEFs
(2024/4/23)...............................................................................................................................29
13. 美國聯(lián)邦法院判令未注冊的商品基金管理人及其總裁為外匯欺詐行為支付超
過(guò) 1100 萬(wàn)美元的賠償金和罰款（2024 年 4 月 26 日）.................................................... 30
Federal Court Orders Unregistered Pool Operator and its President to Pay Over
$11 Million for Forex Fraud (2024/4/26)............................................................................. 31
境外資訊——歐盟................................................................................................................34
14. 歐盟證券與市場(chǎng)管理局為市場(chǎng)參與者提供與第三國養老金計劃交易的清算義
務(wù)指引（2024 年 3 月 27 日）.............................................................................................. 34
ESMA Provides Market Participants with Guidance on The Clearing Obligation
for Trading with 3rd Country Pension Schemes (2024/3/27)............................................ 34
15. 歐盟證券與市場(chǎng)管理局發(fā)布的新報告揭示了歐盟各地監管數據的質(zhì)量和使用
情況（2024 年 4 月 11 日）...................................................................................................35
New Report Sheds Light on Quality and Use of Regulatory Data Across EU
(2024/4/11)...............................................................................................................................36
16. 歐盟證券與市場(chǎng)管理局展示了歐盟監管機構關(guān)于《歐盟市場(chǎng)基礎設施監管條
例》數據質(zhì)量改進(jìn)的監管實(shí)踐（2024 年 4 月 11 日）...................................................... 37
ESMA Shows EU Regulators’ Supervisory Practices Regarding EMIR Data
Quality Improving (2024/4/11)............................................................................................. 38
17. 七國集團網(wǎng)絡(luò )專(zhuān)家組在金融領(lǐng)域開(kāi)展跨境協(xié)同活動(dòng)（2024 年 4 月 23 日）. 39
G7 Cyber Expert Group Conducts Cross-border Coordination Exercise in the
Financial Sector (2024/4/23)..................................................................................................40
境外資訊——英國................................................................................................................42
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