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Keywords: Chief Compliance Officer (CCO)
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (1): 10–16.
Published: 07 March 2019
...Julian E. Hammar Purpose This paper summarizes the requirements of rule amendments promulgated by the Commodity Futures Trading Commission (CFTC) in 2018 regarding the duties of Chief Compliance Officers (CCOs) of swap dealers, major swap participants, and futures commission merchants...
