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시장 규제 · 2018. 8. 27.1 분 읽기
Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants
로컬 자동 번역 · 원본 출처 언어
요약
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.
원본 출처 언어: Federal Register — CFTC원문 발표 열기 →