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Régulation des marchés · 08/04/20131 min de lecture
Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
Traduction automatique locale · Langue originale de la source
Résumé
The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to make clear that each swap dealer (SD), major swap participant (MSP), and other Commission registrant with whom an associated person (AP) is associated is required to supervise the AP and is jointly and severally responsible for the activities of the AP with respect to customers common to it and any other SD, MSP or other Commission registrant.
Langue originale de la source: Federal Register — CFTCOuvrir le communiqué original →