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CFTC Gives Compliance Officers More Time to File Annual Reports

August 11, 2016 by Eugene Grygo

Chief compliance officers at futures commission merchants (FCMs), swap dealers, and major swap participants may have more time to file annual reports because of amendments that the CFTC is proposing for a key regulation. CFTC officials announced on August 9 that it will be publishing in the Federal Register proposed amendments to CFTC regulation 3.3… Read More >>

Filed Under: Derivatives Operations, Securities Operations, Corporate Actions, Middle-Office, FinTech Trends, Back-Office, Integration, Standards, Regulation & Compliance, Cybersecurity, Derivatives, Regulatory Compliance Tagged With: Broadridge Financial Solutions, CFTC, class action services, corporate actions, Deloitte, FCM, futures commission merchants, OpenFin, Proxy Voting, SEI, Standards, Symphony Software Foundation, tax reporting, ThreatConnect

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