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16-24 PDF Image; Section 1.11; Advisories; Other Written Communication
Advisory to Futures Commission Merchants reminding them of key risk management program requirements and sharing observed examples of practices for implementing an effective program.
16-60 PDF Image; 31 C.F.R. Chapter V; Advisories; Other Written Communication
Staff Advisory that reminds: (1) futures commission merchants (FCMs) and introducing brokers (IBs) of their obligations to report suspicious activities as required by a regulation issued by the Financial Crimes Enforcement Network under the Bank Secrecy Act; and (2) FCMs, IBs and all other persons registered or required to be registered with the Commission to comply with the economic sanctions programs imposed against countries and groups of individuals that appear at 31 C.F.R. Chapter V. Advisory.
16-62 PDF Image; CEA Section 4s(k)(2), CEA Section 4d(d), and Commission Regulation 3.3; Advisories; Other Written Communication
Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.