CFTC Staff Letters

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.

Advisory to FCMs and time-limited no-action relief to DCOs with respect to the treatment of separate accounts by FCMs.

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.

Advisory for exchanges and clearinghouses with respect to Virtual Currency Derivative Product Listings.

Announcement of DMO review of all swaps reporting regulations, including opening of comment period. Overview of specific issues that DMO plans to address.

Guidance clarifying the expenses that must be included and those that can be reasonably excluded in a DCM’s or SEF’s calculation of projected operating costs.

Practical Application of No-Action Letter No. 16-68 Regarding Investments in Money Market Mutual Funds

Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.

Staff of the Division of Clearing and Risk prepared guidance to DCOs in order to aid DCOs in revising and improving their Recovery Plans and Wind-down Plans, and in preparing proposed rule submissions to implement their Recovery Plans and Wind-down Plans.

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.