2017-09229: Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments
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The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend 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 and furnishing to the Commission an annual report containing an assessment of the Registrant's compliance activities.
The agency’s own summary, as published.
What this changes
Amends 1 part of the Code of Federal Regulations — the standing rules this notice rewrites.
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