2016-19231: Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
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The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend certain provisions of its regulations concerning Chief Compliance Officers ("Proposal"). The regulation that is the subject of the Proposal addresses chief compliance officers ("CCOs") of futures commission merchants ("FCMs"), swap dealers ("SDs"), and major swap participants ("MSPs") (collectively, "Registrants"). The proposed amendments would: Codify existing no- action relief regarding the timing of when a Registrant must furnish its CCO annual report to the Commission; clarify filing requirements for Registrants located in a jurisdiction for which the Commission has issued a comparability determination; and delegate to the Director of the Division of Swap Dealer and Intermediary Oversight ("DSIO") authority to grant extensions to the CCO annual report filing deadline.
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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