Page 28 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)（2024年9月刊）
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期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
https://www.cftc.gov/PressRoom/PressReleases/8961-24
8. 美國(guó)商品期貨交易委員會(huì)工作人員發(fā)布關(guān)于全額擔(dān)保二元期權(quán)的報(bào)告和記
錄保存要求的不行動(dòng)函（2024 年 9 月 4 日）
美國(guó)商品期貨交易委員會(huì)（CFTC）宣布，其市場(chǎng)監(jiān)管部和清算與風(fēng)險(xiǎn)管理
部已就互換數(shù)據(jù)報(bào)告和記錄保存規(guī)定采取不采取行動(dòng)立場(chǎng)，以回應(yīng)指定合約市場(chǎng)
和衍生品清算機(jī)構(gòu) LedgerX LLC（以 MIAX Derivatives Exchange LLC 的名義經(jīng)
營(yíng)，簡(jiǎn)稱 MIAXdx）的請(qǐng)求。
上述部門不會(huì)因某些與互換相關(guān)的記錄保存要求，以及未能向互換交易數(shù)據(jù)
報(bào)告庫報(bào)告根據(jù) MIAXdx 規(guī)則執(zhí)行成交的全額擔(dān)保二元期權(quán)交易數(shù)據(jù)而建議
CFTC 對(duì) MIAXdx 或其參與者采取執(zhí)法行動(dòng)。
這一不行動(dòng)函與對(duì)其他相同情形的指定合約市場(chǎng)和衍生品清算機(jī)構(gòu)發(fā)布的
不行動(dòng)函類似。
CFTC Staff Issues No-Action Letter Related to Reporting and Recordkeeping
Requirements for Fully Collateralized Binary Options (2024/9/4)
The Commodity Futures Trading Commission today announced the Division of
Market Oversight and the Division of Clearing and Risk have taken a no-action
position regarding swap data reporting and recordkeeping regulations in response to a
request from LedgerX LLC d/b/a MIAX Derivatives Exchange LLC (MIAXdx), a
designated contract market and derivatives clearing organization.
The Divisions will not recommend the CFTC initiate an enforcement action
against MIAXdx or its participants for certain swap-related recordkeeping
requirements and for failure to report data associated with fully collateralized binary
option transactions executed on or subject to the rules of MIAXdx to swap data
repositories.
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