Chief Compliance Officer Requirements Become Effective for All FCMs

Chief Compliance Officer Requirements Become Effective for All FCMs on March 29, 2013 As we notified Members in Notice I-12-21, the Chief Compliance Officer (CCO) requirements under CFTC Regulation 3.3 became effective on October 1, 2012 for FCMs that are regulated by a prudential regulator or that are also in some capacity registrants of the…...

The full article is available to active NIBA members only.


Please login or sign up to read the rest.
Log In Register