WebNov 16, 2016 · 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 ... WebAnnual Reports. DSIO Guidance — CFTC Regulations § 3.3(e)(4) requires CCO Annual Reports to include a discussion of the financial, managerial, operational, and staffing resources set aside for compliance with the Commodity …
CFTC Amends Chief Compliance Officer Duties and Annual Report ...
WebCHAPTER I—COMMODITY FUTURES TRADING COMMISSION; PART 49—SWAP DATA REPOSITORIES § 49.22 Chief compliance officer. 17 CFR § 49.22 - Chief compliance officer. CFR ; ... The annual compliance report shall be provided electronically to the Commission not more than 60 days after the end of the swap data repository's fiscal … Web4 hours ago · Futures tied to the S&P 500 and the Dow pared losses on Friday as resilient earnings from big U.S. banks helped assuage fears of further stress in the sector after the failure of two mid-sized ... phone pop up holder
eCFR :: 17 CFR 3.3 -- Chief compliance officer.
WebNov 30, 2024 · The CFTC’s Division of Enforcement recently issued its annual reportfor Fiscal Year 2024. A few of the highlights include that in 2024 the division brought: the most enforcement actions filed in CFTC history (113) cases that totaled $1.3 billion in monetary relief ordered—the fourth highest total in CFTC history WebNov 30, 2024 · The CFTC’s Division of Enforcement recently issued its annual reportfor Fiscal Year 2024. A few of the highlights include that in 2024 the division brought: the … WebThe amendments also modify the CCO annual report content and submission requirements to reduce report preparation burdens while also making the reports more effective. By adopting these amendments, the CFTC is also further synchronizing the CCO regulations with the comparable regulations adopted by the Securities and Exchange Commission for ... phone pop up ads on android