DSIO Advisories

 

Date

Title

12/04/2019

19-24
Letter Type: Advisories
Division: DSIO
Regulation Parts: 3.3
Tags: CCO, FCM, MSP, SD
Description: Advisory providing further guidance on certain requirements applicable to swap dealers, futures commission merchants, and major swap participants in connection with the preparation and submission of chief compliance officer annual compliance reports pursuant to § 3.3.

07/09/2019

19-16; 23.154, 23.157, 23.158, 23.504, 23.600; Advisories
Advisory clarifying that no documentation concerning the collection, posting and custody of initial margin is required to be completed until the initial margin threshold amount of $50 million has been exceeded.

07/25/2016

16-62; CEA Section 4s(k)(2), CEA Section 4d(d), and Commission Regulation 3.3; Advisories
Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.

07/05/2016

16-60; 31 C.F.R. Chapter V; Advisories
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.

03/02/2016

16-24; Section 1.11; Advisories
Advisory to Futures Commission Merchants reminding them of key risk management program requirements and sharing observed examples of practices for implementing an effective program

12/17/2015

15-66; Commission Regulations 23.204 and 23.205; Other Written Communications
DSIO Advisory reminding swap dealers and major swap participants of their swap data reporting obligations under Commission Regulations 23.204 and 23.205 and providing guidance to assist swap dealers and major swap participants in addressing swap data reporting issues and failures

03/23/2015

15-14; 17 CFR Parts 15, 17, 18 and 20; Advisories
Staff advisory from the Divisions of Market Oversight and Swap Dealer and Intermediary Oversight to remind futures commission merchants, clearing members, foreign brokers, swap dealers, and certain reporting markets of their obligation to obtain information on a timely basis from their customers or counterparties in order to comply with the ownership and control reports (OCR) final rule.

12/22/2014

14-153; Commission Regulations 3.3(e) (17 C.F.R. 3.3(e)) and 3.3(f) (17 C.F.R. 303(f)); Advisories
DSIO guidance to chief compliance officers of FCMs, SDs, and MSPs on how to comply with the requirement under Commission Regulation 3.3(e) to prepare an annual report.

02/26/2014

14-21; Part 160; Advisories
Best practices for complying with GLB Security Safeguards

12/23/2013

13-79; Part 4 of the Commission’s Regulations; Advisories

Staff Advisory Concerning Commodity Trading Advisors and Swaps

11/14/2013

13-69; Sections 2(a), 2(h), and 4s of the CEA, and Parts 23, 37, 38, 39, 43, and 50 of the Commission’s Regulations; Advisories
The Division of Swap Dealer and Intermediary Oversight (DSIO) issued an Advisory on the applicability of Dodd-Frank Transaction-Level Requirements to swaps between non-U.S. swap dealers (whether an affiliate or not of a U.S. person) and non-U.S. persons if the swap is arranged, negotiated, or executed by personnel or agents of the non-U.S. swap dealer located in the U.S