RegAlert2013-06-21 | CFTC Staff Letter 13-29Added · Updated
CFTC Staff Letter 13-29: No-Action Relief for Non-U.S. Associated Persons Regarding Fingerprinting
The Division of Swap Dealer and Intermediary Oversight grants no-action relief from the fingerprinting requirement for Non-U.S. Associated Persons of futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators, retail foreign exchange dealers, and leverage transaction merchants who have not resided in the United States since age 18. Sponsoring registrants may comply by submitting a Form 8-R accompanied by a certification from an authorized person confirming a reasonable criminal history background check was conducted and found no disqualifying matters, while notifying the National Futures Association within 30 days. The registrant must maintain records of the certification and supporting documents in accordance with Commission Regulation 1.31.
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U.S. COMMODITY FUTURES TRADING COMMISSION
Three Lafayette Centre
1155 21st Street, NW, Washington, DC 20581
Telephone: (202) 418-5977
Facsimile: (202) 418-5407 gbarnett@cftc.gov
Division of Swap Dealer and
Intermediary Oversight
Gary Barnett
Director
CFTC Letter No. 13-29
No-Action
June 21, 2013
Division of Swap Dealer and Intermediary Oversight Re: No-Action Relief: Alternative to Fingerprinting to Establish Fitness of Associated Persons Residing Outside the United States Ladies and Gentlemen:
This letter is in response to a May 23, 2013 request from the National Futures Association (“NFA”), received by the Division of Swap Dealer and Intermediary Oversight (“Division”) of the Commodity Futures Trading Commission (“Commission”), seeking relief from the fingerprinting requirement for associated persons of Commission registrants where those associated persons have not resided in the United States since reaching 18 years of age (“Non-U.S. Associated Persons”).”1 Except under certain specific circumstances, 2 Commission
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Source: Commodity Futures Trading Commission — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
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CFTC published 6 documents in the last 30 days. We email you each new one the day it's published.