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.
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Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending its regulations regarding certain duties of chief compliance officers (``CCOs'') of swap dealer...
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83 FR 43510
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“Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants,” thefederalregister.org (August 27, 2018), https://thefederalregister.org/documents/2018-18432/chief-compliance-officer-duties-and-annual-report-requirements-for-futures-commission-merchants-swap-dealers-and-major-s.