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Dec 07, 2016

CFTC Approves Rule Amending Chief Compliance Officer Annual Report Timing

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On November 10, 2016, the Commodity Futures Trading Commission (CFTC) announced its unanimous approval of a final rule amending CFTC Regulation 3.3 to provide for a 90-day window after the end of an institution's fiscal year for the filing of chief compliance officer annual reports.

View full memo, CFTC Approves Rule Amending Chief Compliance Officer Annual Report Timing

Authors and Contributors

Donna Parisi

Partner

Derivatives & Structured Products

+1 212 848 7367

+1 212 848 7367

New York

Geoffrey Goldman

Partner

Derivatives & Structured Products

+1 212 848 4867

+1 212 848 4867

New York

Azam Aziz

Partner

Derivatives & Structured Products

+1 212 848 8154

+1 212 848 8154

New York