WebA designated contract market's financial surveillance program for futures commission merchants, retail foreign exchange dealers, and introducing brokers must comply with the requirements of § 1.52 of this chapter to assess the compliance of such entities with applicable contract market rules and Commission regulations. Web(6) Information requested of the chief compliance officer. The chief compliance officer shall provide any information regarding the self-regulatory program of the swap execution facility as requested by the board of directors or the senior officer. (c) Duties of chief compliance officer. The duties of the chief compliance officer shall include ...
SEC, CFTC charge LJM for mishandling $1B in assets; chief risk officer …
Webwww.cftc.gov WebMar 5, 2024 · They’re responsible for ensuring products go from concept to commercialization with full compliance, consistent processes, and clear documentation to ensure that they’re safe.”. The emergence of “chief regulatory officer” as a respected title demonstrates the value of regulatory affairs teams. It acknowledges that a company’s ... how to export a clip from imovie
eCFR :: 17 CFR 3.3 -- Chief compliance officer.
WebNov 29, 2024 · A November 20th CFTC press release announced a no-action relief from the Division of Market Oversight in CFTC Letter No. 17-61 responding to requests from a multiple registered SEFs. The Commodity Exchange Act requires the Chief Compliance Officer (CCO) of a SEF to prepare and sign an annual compliance report to the … WebMar 27, 2024 · Commissioner U.S. Commodity Futures Trading Commission. Explore the policy fallout from the 2024 market crash, the advance of CBDCs and more. ... the exchange’s chief compliance officer through ... WebOct 6, 2024 · This increased focus on the role of compliance officers generally, coupled with express obligations of the chief compliance officer under CFTC rules, is a warning flag. (Click here for obligations ... lee chong wei world ranking