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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
change in a swap’s floating rate. This letter covers those floating rate changes that are
made under the ISDA LIBOR fallback provisions from CDOR to CORRA, but only
in the event the entity uses its best efforts to report the change by the applicable
deadline in Part 45 and in no case reports the required information later than five
business days from, but excluding, July 2, 2024.
The letter also states DMO and DOD will not recommend the CFTC take
enforcement action against an entity for failure to report under Part 43 the change in
the floating rate for a swap modified after execution to incorporate the ISDA LIBOR
fallback provisions to transition from referencing CDOR to referencing CORRA.
https://www.cftc.gov/PressRoom/PressReleases/8928-24
5. 美國(guó)商品期貨交易委員會(huì)延長(zhǎng)對(duì)事件合約規(guī)則修訂草案的公開(kāi)征求期限
(2024 年 6 月 27 日)
美國(guó)商品期貨交易委員會(huì)(CFTC)宣布,將對(duì)其事件合約規(guī)則修訂草案的
公眾征求截止期限延長(zhǎng)至 2024 年 8 月 8 日。CFTC 此舉旨在為相關(guān)方提供更多
的時(shí)間來(lái)分析該草案并準(zhǔn)備其反饋意見(jiàn)。
該草案旨在修訂 CFTC 聯(lián)邦法規(guī)第 40.11 條規(guī)定,以進(jìn)一步明確哪些類(lèi)型的
事件合約屬于《美國(guó)商品交易法》(CEA)第 5c(c)(5)(C)條的范圍,且與
公共利益相悖,因此不得在 CFTC 注冊(cè)的實(shí)體中或通過(guò)該實(shí)體上市交易或清算。
此外,該草案還將對(duì) CEA 第 5c(c)(5)(C)節(jié)和 CFTC 聯(lián)邦法規(guī)第 40.11
條中“賭博”一詞作出定義并提供相關(guān)示例,如在政治競(jìng)選、有獎(jiǎng)競(jìng)賽、運(yùn)動(dòng)員參
加的比賽中押注或冒險(xiǎn),或就與此類(lèi)比賽或游戲相關(guān)事件的發(fā)生與否作為賭注。
草案還將確定涉及 CEA 第 5c(c)(5)(C)條款中列舉的每項(xiàng)活動(dòng)(賭博、戰(zhàn)
爭(zhēng)、恐怖主義、暗殺以及違反任何聯(lián)邦或州法律的活動(dòng))的事件合約,這類(lèi)事件
7