CFTC Division of Market Oversight Issues No-Action Relief From Certain Timing Requirements Regarding SEF Chief Compliance Officer Annual Compliance Reports and Fourth Quarter Financial Reports
November 21, 2017
November 21, 2017
WASHINGTON, Nov. 21 -- The Commodity Futures Trading Commission issued the following news release:
The Commodity Futures Trading Commission's (CFTC) Division of Market Oversight (Division) today issued no-action relief to swap execution facilities (SEF) from the timing requirement within CFTC regulation 37.1501(f)(2), which requires a chief compliance officer (CCO) of a SEF to submit an annual compliance report (ACR) to the CFTC not later than 60 days after the SEF's fiscal year end . . .
The Commodity Futures Trading Commission's (CFTC) Division of Market Oversight (Division) today issued no-action relief to swap execution facilities (SEF) from the timing requirement within CFTC regulation 37.1501(f)(2), which requires a chief compliance officer (CCO) of a SEF to submit an annual compliance report (ACR) to the CFTC not later than 60 days after the SEF's fiscal year end . . .