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Keywords: Futures commission merchant
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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...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (1): 47–49.
Published: 26 April 2013
... reviews the revised rules, adopting release and industry commentary and explains how the requirements of CFTC Regulations 1.31 and 1.35 will be applied to futures commission merchants (FCMs), certain introducing brokers (IBs), certain members of a designated contract market (DCM) or swap execution...
