WebMay 8, 2024 · In addition, the amendments would harmonize certain CFTC and SEC CCO Annual Report content requirements in an effort to reduce the costs to dual registrants of complying with two regulatory regimes. The Commission believes that the foregoing amendments would also provide relief for Registrants from resource and time pressures … WebDec 6, 2024 · The CFTC advisory discusses a number of common deficiencies that the staff has identified in its review of the 2024 CCO Annual Reports and provides additional guidance to Registrants regarding the requirements of the CCO Annual Report in light of the deficiencies found.
CFTC Adopts Final Rule Amendments Simplifying CCO …
WebAug 29, 2024 · include preparing and signing the CCO Annual Report. • In 2012, the CFTC implemented these requirements when it finalized the CCO Rule, which became effective on June 4, 2012. • In December 2014, in response to industry requests for guidance and clarification, the CFTC issued a staff advisory (“ Advisory 14-153 ”), 4. which provided ... WebCommodity Futures Trading Commission CFTC cpd studio
Swap Dealer and Major Swap Participant Chief Compliance …
WebManage the preparation of the Annual CCO Report for FCM and SEF, and other reports as required. ... In-depth knowledge of NFA/CFTC Futures and Swaps Rules and Regulations, Dodd Frank Title VII SEF ... WebThe Manager will be a subject matter expert in the area of CFTC matters and assist CCO with Compliance tasks such as reporting, audits, compliance with rules related to exchanges and clearing houses, annual CCO report. Prior experience working at the compliance department of the exchange, clearing house, or CFTC’s DMO or DCR is required. WebDec 22, 2024 · On December 2, 2024, the Commodity Futures Trading Commission’s (“CFTC”) Market Participants Division issued an advisory concerning non-U.S. swap … cpdta 変換 色弱