Regulatory Alerts2016-02-11 | 2016-02795Added · Updated
Commodity Futures Trading Commission Order Exempting Korea Exchange Member Firms From Certain Foreign Futures and Options Regulations
The Commodity Futures Trading Commission granted an exemption to member firms designated by the Korea Exchange from specific registration, disclosure, and financial requirements under Part 30 of its regulations. This relief is based on substituted compliance with comparable Korean regulatory and self-regulatory standards that ensure adequate customer protection and market integrity. The order permits these firms to engage in limited marketing with qualified U.S. customers while maintaining ongoing obligations to report status changes and cooperate with Commission oversight.
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