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Régulation des marchés · 27/08/20181 min de lecture
Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants
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Résumé
The Commodity Futures Trading Commission ("Commission" or "CFTC") is amending its regulations regarding certain duties of chief compliance officers ("CCOs") of swap dealers ("SDs"), major swap participants ("MSPs"), and futures commission merchants ("FCMs") (collectively, "Registrants"); and certain requirements for preparing, certifying, and furnishing to the Commission an annual report containing an assessment of the Registrant's compliance activities.
Langue originale de la source: Federal Register — CFTCOuvrir le communiqué original →