Regulatory Alerts2016-04-01 | 2016-07304Added · Updated
Alternative to Fingerprinting Requirement for Foreign Natural Persons
The Commodity Futures Trading Commission issued a final rule establishing an alternative to fingerprinting for natural persons who have not resided in the United States since reaching age 18. This regulation permits a Certifying Firm to satisfy the fitness evaluation requirement by conducting a criminal history background check and submitting a certification to the National Futures Association instead of providing fingerprints. The rule aims to reduce regulatory burdens on foreign individuals while ensuring continued protection of market participants and the public through rigorous background screening.
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