LME

倫敦金屬交易所

申報責任人士及申報方式
 Who must report & How to report

Who must  report：

Category 1,  2, 3 and 4 Members must provide a daily Commodity Position Report (“CPR”) to  the LME in accordance with the format required by the Exchange.

How to report

These position  reports must be submitted to the LME Universal Date Gateway (“LME UDG”).

Further  information on LME UDG or CPR should refer to the relevant specification  documents, which can be found on the LME website at:

https://www.lme.com/en-GB/About/Market-Regulation/MiFID-II/Documents#tabIndex=1

負有申報責任人士：

第1、2、3和4類會員必須按照交易所要求的格式向LME提供一份每日持倉報告（“CPR”）。

申報方式：

這些持倉報告必須通過LME Universal Date Gateway（“LME  UDG”）提交給LME。

有關LME UDG或CPR的進一步信息可參考LME網站的相關規範文件：https://www.lme.com/en-GB/About/Market-Regulation/MiFID-II/Documents#tabIndex=1

申報時間

Deadline for  reports submission

Category 1,  2, 3 and 4 Members must submit their CPR file to Market Surveillance using  the LME UDG, before 08:30:00 each business day

第1、2、3和4類成員必須在每個工作日08：30之前使用LME UDG提交CPR文件。

持倉責任及持倉限制

Accountability  Levels & Position Limits

Updates to  the “Single Prompt Accountability Levels” and the “All Prompt Accountability Levels”  could be found at Member Notices which are published on LME official website:

https://www.lme.com/en/News?page=1

Please click  the link below to view the latest updates note dated 14 October 2024：

https://www.lme.com/api/sitecore/MemberNoticesSearchApi/Download?id=703c292f-b0e9-47a2-91a5-31273cac0509

有關LME持倉責任及持倉限制的信息及任何更新可在LME官方網站的會員通知中找到：

https://www.lme.com/en/News?page=1

可通過以下鏈接查看最新”持倉管理安排-更新持倉責任水平說明”文件（2024年10月14日）

https://www.lme.com/api/sitecore/MemberNoticesSearchApi/Download?id=703c292f-b0e9-47a2-91a5-31273cac0509

需報告資料

Information  required

Every single  net LME market position must be reported in respect of:

a) All  aggregated proprietary accounts of a Member;

b) Any Client  account;

In respect of  Client Contracts, the reports must be compiled on the basis of all Clients  who hold those Client Contracts. Where a Member operates an omnibus account  on behalf of underlying Clients of an intermediary, the reports must account  for each of those underlying Clients separately (except in the case of pooled  funds). Members should not treat intermediaries as the holders of aggregated  positions if the underlying Clients are the holders of the Client Contracts.

Positions  reported by Members each morning are those at the close of business on the  previous business day. Trades that remain unmatched at close of business  should not be included in Member’s position reports the next day. Only  on-exchange LME registered positions should be reported. Over the counter  (“OTC”) positions or LME look-alikes should not be reported nor netted with  on-exchange positions. In the event a Member has unmatched trades at close of  business for either the tom or cash prompt they should inform Market  Surveillance via email before 08:30:00 the next morning.

For each of  the reportable accounts described above, net market positions should be  reported by an International Securities Identification Number (“ISIN”).

必須報告以下賬戶內每個合約的淨頭寸：

a)    會員的所有合並專門賬戶；

b)    任何客戶帳戶；

關於客戶持有的合約，必須基於所有持有這些合約的客戶編制報告。如果會員代表中介經紀的底層客戶代理綜合賬戶，則報告必須分別闡明每個綜合賬戶底層客戶（合並資金除外）。如果綜合賬戶底層客戶是合約的持有者，則會員不應將中介經紀視為綜合賬戶合並頭寸的持有者。

會員每天上午報告的持倉是指前一個工作日結束時的倉位。在交易結束時仍無法匹配的交易不應包括在第二天的會員頭寸報告中。只應報告交易所內的LME注冊頭寸。場外交易（“OTC”）頭寸或類LME的持倉不應該報告，也不應該計入交易頭寸。如果會員在交易結束時交易仍無法匹配，應在第二天上午08：30之前通過電子郵件通知市場監管部門。

對於上述每一個需報告賬戶，淨頭寸應由國際證券識別號（“ISIN”）報告。

合計倉位的規定

Aggregation  requirements

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