Federal Register, Volume 80 Issue 201 (Monday, October 19, 2015)  
[Federal Register Volume 80, Number 201 (Monday, October 19, 2015)]
[Pages 63202-63203]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-26421]



Agency Information Collection Activities Under OMB Review

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice.


SUMMARY: In compliance with the Paperwork Reduction Act of 1995 
(``PRA''), this notice announces that the Information Collection 
Request (``ICR'') abstracted below has been forwarded to the Office of 
Management and Budget (``OMB'') for review and comment. The ICR 
describes the nature of the information collection and its expected 
costs and burden.

DATES: Comments must be submitted on or before November 18, 2015.

ADDRESSES: Comments regarding the burden estimated or any other aspect 
of the information collection, including suggestions for reducing the 
burden, may be submitted directly to the Office of Information and 
Regulatory Affairs (``OIRA'') in OMB, within 30 days of the notice's 
publication, by email at [email protected]. Please identify 
the comments by OMB Control No. 3038-0079. Please provide the 
Commission with a copy of all submitted comments at the address listed 
below. Please refer to OMB Reference No. 3038-0079, found on http://reginfo.gov. Comments may also be mailed to the Office of Information 
and Regulatory Affairs, Office of Management and Budget, Attention: 
Desk Officer for the Commodity Futures Trading Commission, 725 17th 
Street NW., Washington, DC 20503, and to the

[[Page 63203]]

Commission through the Agency's Web site at http://comments.cftc.gov. 
Follow the instructions for submitting comments through the Web site.
    Comments may also be mailed to: Christopher Kirkpatrick, Secretary 
of the Commission, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 or by Hand 
Deliver/Courier at the same address.
    A copy of the supporting statements for the collection of 
information discussed above may be obtained by visiting http://reginfo.gov. All comments must be submitted in English, or if not, 
accompanied by an English translation. Comments will be posted as 
received to http://www.cftc.gov.

FOR FURTHER INFORMATION CONTACT: Jacob Chachkin, Special Counsel, 
Division of Swap Dealer and Intermediary Oversight, Commodity Futures 
Trading Commission, (202) 418-5496, email: [email protected], and 
refer to OMB Control No. 3038-0079.

    Title: Conflict of Interest Policies and Procedures by Swap Dealers 
and Major Swap Participants (OMB Control No. 3038-0079). This is a 
request for an extension of a currently approved information 
    Abstract: On April 3, 2012, the Commission adopted Commission 
regulation 23.605 (Conflicts of interest policies and procedures) under 
section 4s(j)(5) \1\ of the Commodity Exchange Act (``CEA''). 
Commission regulation 23.605 requires, among other things, that swap 
dealers (``SD'') \2\ and major swap participants (``MSP'') \3\ adopt 
and implement conflicts of interest procedures and disclosures, 
establish written policies and procedures reasonably designed to ensure 
compliance with the conflicts of interest and disclosure obligations 
within the regulations, and maintain specified records related to those 
requirements.\4\ The Commission believes that the information 
collection obligations imposed by Commission regulation 23.605 are 
essential to ensuring that SDs and MSPs develop and maintain the 
conflicts of interest systems, procedures and disclosures required by 
the CEA and Commission regulations, and to the effective evaluation of 
these registrants' actual compliance with the CEA and Commission 

    \1\ 7 U.S.C. 6s(j)(5).
    \2\ For the definition of SD, see section 1a(49) of the CEA and 
Commission regulation 1.3(ggg). 7 U.S.C. 1a(49) and 17 CFR 1.3(ggg).
    \3\ For the definitions of MSP, see section 1a(33) of the CEA 
and Commission regulation 1.3(hhh). 7 U.S.C. 1a(33) and 17 CFR 
    \4\ See 17 CFR 23.605.

    Burden Statement: The respondent burden for this collection is 
estimated to be as follows:
    Number of Registrants: 125.
    Estimated Average Burden Hours Per Registrant: 44.5.
    Estimated Aggregate Burden Hours: 5,562.5.
    Frequency of Recordkeeping/Third-party Disclosure: As applicable.
    (Authority: 44 U.S.C. 3501 et seq.)

    Dated: October 13, 2015.
Robert N. Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2015-26421 Filed 10-16-15; 8:45 am]