Letters

CCO Duties and Annual Report Requirements

Summary

SIFMA and the Futures Industry Association (FIA) provided comments to the Commodity Futures Trading Commission (CFTC) on regarding chief compliance officer (CCO) duties and annual report requirements for futures commission merchants, swap dealers and major swap participants set forth in Commission Regulations § 3.3.

See also:
Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments

PDF

Submitted To

Commodity Futures Trading Commission (CFTC)

Submitted By

SIFMA and the Futures Industry Association (FIA)

Date

7

July

2017