Régulation des marchés · 03/07/20181 min de lecture
Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations
Traduction automatique locale · Langue originale de la source
Résumé
The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend its regulations governing the minimum standards for a self-regulatory organization's ("SRO") financial surveillance examination program of futures commission merchants ("FCMs"). The proposed amendments would revise the scope of a third- party expert's evaluation of the SRO's financial surveillance program to cover only the examination standards used by SRO staff in conducting FCM examinations. The proposed amendments also would revise the minimum timeframes between when an SRO must engage a third-party expert to evaluate its FCM examination standards.