Regulatory Alerts2020-11-24 | 2020-24661Added · Updated
Foreign Futures and Options Transactions
The Commodity Futures Trading Commission granted exemptive relief to UBS AG and certain BSE Limited member firms from specific U.S. foreign futures and options regulations. This exemption permits substituted compliance with comparable Swiss and Indian regulatory requirements, relieving these entities from U.S. registration, disclosure, and capital adequacy rules. The relief is conditional upon maintaining good standing, consenting to U.S. jurisdiction, and ensuring equivalent customer protection standards.
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