Regulatory Alerts2012-11-14 | 2012-26435Added · Updated
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
The Commodity Futures Trading Commission proposes new regulations to enhance customer protections, risk management, and capital standards for futures commission merchants and derivatives clearing organizations. These rules aim to safeguard segregated customer funds and secured amounts while strengthening internal controls and auditing programs in response to recent market failures. The proposal also addresses related issues concerning chief compliance officers and the oversight of self-regulatory organizations to ensure more robust monitoring of market participants.
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