国际衍生品市场动态 ｜控管 Regulations

porary No-Action Letter regarding capital and financial reporting for non-U.S. nonbank swap dealers

The Commodity Futures Trading Commission’s Market Participants Division (MPD) has issued a temporary no-action letter extending a no-action position to provisionally-registered nonbank SDs domiciled in Japan, Mexico, the United Kingdom, and the European Union, conditioned upon the nonbank SDs remaining in compliance with existing home-country capital and financial reporting requirements and submitting certain financial reporting information to the CFTC. As part of the capital and financial reporting requirements for nonbank SDs, the CFTC adopted a substituted compliance framework that permits covered nonbank SDs to rely on compliance with home country capital and financial reporting requirements in lieu of meeting all or parts of the CFTC’s capital adequacy and financial reporting requirements.

SEC publishes statements on PCAOB amendments to strengthen auditing standards

The Securities and Exchange Commission approved the PCAOB updated standards for audits that involve multiple auditing firms, which will strengthen the requirements for lead auditors who supervise other auditors in an audit, helping to enhance audit quality and protect investors. Over the years, the growing complexity and international operations of markets has led auditors increasingly to rely on other auditors — working across different firms, countries, and even languages — in completing an audit. Given such multi-firm audits present, the PCAOB’s updated standards make enhancements across two broad areas: the amended standards specify certain procedures for lead auditors to perform when supervising other auditors; require lead auditors to prioritize their supervisory activities around higher-risk areas in the audit.

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