【监管/Regulations】
√ESMA发布关于中央对手方的气候风险框架
√澳大利亚更新与欧洲关于清算问题的谅解备忘录
√ISDA呼吁简化英国衍生品报告规则
ESMA发布关于中央对手方的气候风险框架
欧洲证券和市场管理局（ESMA）公布了为中央对手方（CCP）进行特定气候压力测试的建议。此次将环境相关风险纳入压力测试框架是监管机构对环境、社会和治理（ESG）标准进行更广泛改革的一部分。ESMA特别将测试限制在气候而不是更广泛的环境因素上，即温度和海平面变化等因素在测试范围内，但不包括空气污染或土地污染。ESMA还定义了与CCP相关的气候风险的四个支柱问题：物理风险、快速过渡风险、商业风险和抵押品替代风险，并考虑了清算公司已经进行的实际或计划的气候风险评估的程度。
澳大利亚更新与欧洲关于清算问题的谅解备忘录
澳大利亚证券和投资委员会（ASIC）和澳大利亚储备银行（RBA）更新了与欧洲证券监管机构关于中央对手方（CCP）的谅解备忘录。该谅解备忘录要求建立合作安排，由欧洲证券和市场管理局（ESMA）对为欧洲设立的清算成员或交易平台提供清算服务的CCP给予认可。双方同意在各自法律和法规允许的范围内，就相关CCP的所有信息和监督活动提供最充分的合作，共同完成各自的监管任务，特别是在投资者保护、促进市场和金融诚信以及维护信心和系统稳定方面。
ISDA呼吁简化英国衍生品报告规则
考虑到英国寻求将其制度与全球和欧洲标准统一起来，国际掉期和衍生品协会（ISDA）呼吁对英国拟议的交易报告规则采取简化方法。ISDA在回应英国央行和英国金融行为监管局11月发布的关于欧洲交易报告规则应用的咨询文件（该咨询文件涉及到英国版《欧洲市场基础设施条例》（UK EMIR）下的框架变化）时发出了这一呼吁，支持使用用于报告场外衍生品的唯一产品标识符（UPI），并指出为了使英国EMIR与全球报告制度保持一致，UPI应作为所有场外衍生品合约的唯一产品标识符用于报告。
ESMA publishes climate risk framework for CCP
The European Securities and Markets Authority (ESMA) published proposals for developing a climate-specific stress test for clearing counterparties (CCPs). The move is part of a wider revamp of Environmental, Social and Governance (ESG) standards undertaken by the regulator, as it integrates environment related risks in its stress testing regimes. ESMA has specifically restricted the test to climate rather than wider environmental factors, so factors such as temperature and sea level changes are in scope but not air pollution or land contamination. ESMA has defined four pillars of climate risks relevant to CCPs; physical risk, rapid transition risk, business risk and collateral replacement risk. It will also take into account the extent of actual or planned climate risk assessments already undertaken by clearing firms themselves.
Australia updates clearing MoU with Europe
The Australian Securities and Investments Commission (ASIC) and the Reserve Bank of Australia (RBA) have updated their Memorandum of Understanding (MoU) with the European securities regulator in relation to central counterparties. The MoU requires the establishment of cooperation arrangements for recognition by ESMA of covered central counterparties (CCPs) to provide services to clearing members or trading venues established in Europe. Under the MoU, ASIC said: “Signatories agree to provide the fullest cooperation permissible under their laws and regulations in relation to all relevant information and supervisory activities regarding the covered CCPs. The parties express their willingness to fulfill their respective regulatory mandates, particularly in the areas of investor protection, fostering market and financial integrity, and maintaining confidence and systemic stability.”
ISDA calls for simpler UK derivatives reporting rules
The International Swaps and Derivatives Association (ISDA) has called for a simplified approach to Britain's proposed trade reporting rules, as the UK seeks to unify its regime with global and European standards. The derivatives trade body made the call in response to a Bank of England and Financial Conduct Authority consultation paper on the application of European rules on trade reporting issued in November. The paper relates to changes to the framework under the UK version of the European Markets Infrastructure Regulation (UK EMIR). The ISDA supports unique product identifiers (UPIs) for the reporting of over-the-counter (OTC) derivatives, stating that for UK EMIR to remain consistent with comparable global reporting regimes, the UPI should be reported as the only product identifier for all OTC derivative contracts.
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