Regulatory Alerts2018-07-03 | 2018-14272Added · Updated
Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations
The Commodity Futures Trading Commission proposes to amend Regulation 1.52 to revise the scope of third-party expert evaluations for self-regulatory organization financial surveillance programs. The amendments would restrict these evaluations to assessing only the examination standards used by staff in conducting futures commission merchant examinations. Additionally, the proposal modifies the minimum timeframes for engaging third-party experts to evaluate these specific FCM examination standards.
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