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Regulação de mercados · 16/11/20161 min de leitura
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
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Resumo
The Commodity Futures Trading Commission ("Commission" or "CFTC") is amending its regulations regarding the timing for furnishing to the Commission the chief compliance officer ("CCO") annual reports of futures commission merchants ("FCMs"), swap dealers ("SDs"), and major swap participants ("MSPs") (collectively, "Registrants"). The Commission is also amending its regulations by delegating to the Director of the Division of Swap Dealer and Intermediary Oversight ("DSIO") authority to grant extensions to the CCO annual report filing deadline.
Idioma original da fonte: Federal Register — CFTCAbrir o comunicado original →