CFTC Issues No-Action Relief Regarding Annual Reports by Chief Compliance Officers
By EsqSocial Corporation 08/01/14
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued two no-action letters providing relief from certain chief compliance officer (CCO) annual report filing requirements.Pursuant to No-Action...
By: Katten Muchin Rosenman LLP