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Post by bot on Dec 30, 2013 19:09:56 GMT -5
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Futures Commission Merchants, Swap Dealers, and Major Swap Participants Concerning Annual Reports of Chief Compliance Officers 12/30/2013 04:11 PM EST The U.S. Commodity Futures Trading Commission’s (CFTC or Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued two no-action letters that provide certain futures commission merchants, swap dealers, and major swap participants with limited relief surrounding the requirement that chief compliance officers of such firms prepare and submit an Annual Report, pursuant to Commission Regulation 3.3. www.cftc.gov/PressRoom/PressReleases/pr6813-13.html
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