Regulatory Alerts2014-07-15 | 2014-16583Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants; Correction
The Commodity Futures Trading Commission issued correcting amendments to final regulations concerning risk management programs for swap dealers and major swap participants. These corrections address errors in the April 3, 2012, publication that were deemed misleading and require clarification to ensure proper regulatory compliance. The amended rules specifically revise the annual review and testing requirements for risk management programs under 17 CFR Part 23, effective July 15, 2014.
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