The proposal would restore certain CPO and CTA exemptions that were in place until 2012.
CFTC Rule 23.203
Requires swap dealers and major swap participants to retain records at the principal place of business or designated principal office.
These must be supplied within 72 hours of receiving a request for their production from the CFTC.
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The agency said a growing number of filings have failed to provide sufficient notice or compliance analysis.
Our in-brief roundup of notable stories from the last week.
Our in-brief roundup of notable stories from the last week.
The broker-dealer failed to properly monitor more than 61,500 foreign currency wires after previously settling similar charges in 2018.
Key personnel moves across the regulated industries that we cover.
The CFTC, through its sole commissioner, said new amendments are needed "to increase the detail and specificity of the existing regulations in order to mitigate potential risks."
