Advisory to non-U.S. swap dealers and non-U.S. major swap participants relying on substituted compliance under the terms of an applicable CFTC entity-level comparability determination with respect to the filing of an annual chief compliance officer report required pursuant to Commission regulation 3.3(f).
No-action positions for swap dealers to facilitate physical separation of personnel in response to the COVID-19 pandemic
No-action positions for futures commission merchants and introducing brokers to facilitate physical separation of personnel in response to the COVID-19 pandemic
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.
No-Action relief from the timing requirements of Commission Regulation 3.3(f)(2) relating to annual reports by chief compliance officers.
No-Action relief from the timing requirements of Commission Regulation 3.3(f)(2) relating to annual reports by chief compliance officers.
Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.
No-Action Relief from the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers for Deutsche Bank AG.
No-Action Relief from the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers for Commerzbank AG.
The no-action letter gives relief from the timing requirements of 3.3(f)(2) for filing the Chief Compliance Officer Annual Report. The relief gives an additional 30 days to file the report.
