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　　监管Regulation

　　√为打击网络犯罪，SEC成立新部门处理ICO与DLT违法行为

　　√CFTC市场监督部扩大现有救济，并为OCR最终规则所要求的报告方提供报告义务的额外救济

　　√欧洲期货交易所废止台湾期货交易所连接

　　√香港证监会及联交所发表有关上市监管的联合咨询总结

　　为打击网络犯罪，SEC成立新部门处理ICO与DLT违法行为

　　美国证券交易委员会（SEC）将锁定涉及分布式账本技术（DLT）和ICO（initial coin offerings）的违法行为，这是其打击网络犯罪计划的一部分。本周一，SEC宣布成立一个新的部门，专门调查“使用暗网的犯罪行为”，在暗网中，比特币和其它加密货币都曾被用于购买违禁品。该团队的负责人Robert A. Cohen曾经是SEC市场滥用调查部门的联合主管，将负责应对加密货币领域两种形式的犯罪：市场操控以及敏感信息窃取。就在这一消息公布的一个星期以前，SEC表示其记录企业申请的数据库遭到攻击。然而，本周一SEC指出，这个新的网络部门的成立“已经策划了好几个月了”。

　　CFTC市场监督部扩大现有救济，并为OCR最终规则所要求的报告方提供报告义务的额外救济

　　美国商品期货交易委员会（CFTC）市场监督部（DMO）9月25日发布了一项不间断的信函（CFTC工作人员第17-45号信函），该措施延长了目前的救济情况，并为报告方提供了所有权和控制权最终规则（OCR最终规则）所要求的报告义务额外救济。2013年批准的“ OCR最终规则”确定了符合新的所有权和控制权规则及相关表格相关的要求，以加强对期货和掉期市场参与者的识别。OCR最终规则要求电子交易者所提交的身份识别和市场参与者数据。DMO正在提供这种实质性救济，以努力解决遵从报告方和行业集团认定的某些OCR报告责任的合规难题。

　　欧洲期货交易所废止台湾期货交易所连接

　　在今年9月台湾期货交易所(TAIFEX)延长交易时间后，参与者对该连接的兴趣减少。欧洲期货交易所决定放弃台湾期货交易所的连接。欧洲期货交易所(Eurex Exchange)和台湾期货交易所(TAIFEX)已经建立了一个共同的连接，并在台湾交易时间后推出了TAIEX期权和期货。因此，在欧洲和美国核心交易时段，提供一个隔夜市场，让国际投资者和交易商能够进入TAIEX指数衍生品市场。Eurex/ TAIFEX连接为现有的市场参与者提供了对TAIFEX头寸的对冲机会，并有机会在全球市场波动的情况下采取高级头寸。通过在Eurex交易所(日间期货)上列出一项衍生品合约，从而实现了对TAIEX期货和期权的24小时交易和清算的连接。该合约的基础是在TAIFEX交易的TAIEX期货/期权合约/系列中的一个头寸。在Eurex的每一个交易日结束时，开放的利息被转移到TAIFEX清算所。

　　香港证监会及联交所发表有关上市监管的联合咨询总结

　　证券及期货事务监察委员会（证监会）和香港交易及结算所有限公司（香港交易所）全资附属公司香港联合交易所有限公司（联交所），今天就其建议改善联交所的上市监管决策及管治架构的联合谘询，发表总结文件。经仔细考虑市场回应后，证监会及联交所决定采纳总结文件所载的未来路向。有关总结文件厘清证监会作为执行《证券及期货条例》及《证券及期货(在证券市场上市)规则》和监管、监察及规管联交所活动的法定监管机构的角色，以及联交所作为执行《上市规则》的监管机构的角色。证监会作为法定监管机构的角色现已演变为以更直接的方式，处理较严重的上市监管事宜。一个新的上市政策小组将在证监会及联交所以外成立，作为建议、谘询及督导平台，双方可在此就对监管或市场具有更广泛影响的上市政策深入讨论。

　　New SEC Cyber Unit to Police ICOs and Other DLT 'Violations'

　　The SEC will target violations involving distributed ledger technology and initial coin offerings (ICOs) as part of a new effort to fight cybercrime.

　　Announced late Monday, the unit will go after "misconduct perpetrated using the dark web," where bitcoin and other cryptocurrencies are used to pay for illicit goods, the SEC said. The team, led by Robert A. Cohen, a former co-chief of the regulator’s market abuse unit, will also focus on two forms of crime that are often associated with, though hardly unique to, the crypto space: market manipulation and the theft of sensitive information.

　　The news comes less than a week after the SEC disclosed that its own database of corporate filings had been hacked. However, the agency said Monday that the new cyber unit "has been in the planning stages for months."

　　CFTC’s Division of Market Oversight Extends Existing Relief and Provides Additional Relief for Reporting Parties from Reporting Obligations as Required by the OCR Final Rule

　　The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) Sept.25 issued a no-action letter (CFTC Staff Letter 17-45) that extends current relief and provides additional relief to reporting parties from reporting obligations as required by the ownership and control reports (OCR) final rule (OCR Final Rule).

　　The OCR Final Rule, approved in 2013, established requirements related to new ownership and control rules and related forms to enhance its identification of futures and swap market participants. The OCR Final Rule requires the electronic submission of trader identification and market participant data.

　　DMO is providing this substantive relief in an effort to address compliance difficulties associated with certain OCR reporting obligations that were identified by reporting parties and industry groups.

　　Eurex to scrap Taiwan Futures Exchange link

　　Participant interest in the link dwindled after Taifex extended its trading hours in Sept. of this year.Eurex decided to scrap Taiwan Futures Exchange link.Eurex Exchange and the Taiwan Futures Exchange (TAIFEX) have created a common link making TAIEX options and futures available after Taiwanese trading hours. Thus offering an overnight market that enables international investors and traders to access the TAIEX index derivatives market during European and U.S. core trading hours. The Eurex/TAIFEX Link provides existing market participants with hedging opportunities for TAIFEX positions and an opportunity to take advanced positions as the global market fluctuates.

　　The link for 24 hour trading and clearing of TAIEX Futures and Options has been realized by listing a derivatives contract on Eurex Exchange (daily futures) for which the underlying is a position in the corresponding contract/series of the TAIEX Futures/Options traded on TAIFEX. At the end of each trading day at Eurex Exchange, the open interest is transferred to the TAIFEX clearing house.

　　SFC and Exchange conclude joint consultation on listing regulation

　　The Securities and Futures Commission (SFC) and The Stock Exchange of Hong Kong Limited (Exchange), a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited (HKEX), today published the conclusions to their joint consultation on proposed enhancements to the Exchange’s decision-making and governance structure for listing regulation . After carefully considering market feedback, the SFC and the Exchange have decided to adopt the way forward as set out in the conclusions.

　　The conclusions clarify the role of the SFC as the statutory regulator which administers the Securities and Futures Ordinance (SFO) and the Securities and Futures (Stock Market Listing) Rules (SMLR), and which supervises, monitors and regulates the activities carried on by the Exchange, as well as the Exchange’s role as the regulator administering the Listing Rules . The role of the SFC as a statutory regulator has evolved to have a more direct presence in more serious areas of listing regulation.

　　A new Listing Policy Panel will be established as an advisory, consultative and steering body outside the SFC and the Exchange to initiate and centralise discussion of listing policies with broader regulatory or market implications.

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