Blake Brockway

Blake Brockway

Katten Muchin Rosenman LLP

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NFA Announces New Filing Process for Swap Dealer and Major Swap Participant CCO Reports

On January 23, the National Futures Association (NFA) issued a notice informing its members that the annual reports required by NFA rules to be submitted by the chief compliance officer (CCO) of a swap dealer (SD) or major...more

2/5/2015 - Annual Reports CFTC Chief Compliance Officers Filing Requirements Major Swap Participants National Futures Association Portal Swap Dealers

CFTC Staff Issues No-Action Relief Extending the Deadline for Certain CCO Annual Reports

On December 22, 2014, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter that extends the deadline for submitting the annual report that must be...more

1/15/2015 - Annual Reports CFPB Chief Compliance Officers Corporate Officers DSIO FCMs Major Swap Participants No-Action Relief Swap Dealers Time Extensions

CFTC Staff Issues Guidance Regarding Chief Compliance Officer Annual Reports

On December 22, 2014, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued guidance regarding the annual reports that must be filed by the chief compliance officer (CCO)...more

1/14/2015 - Annual Reports CFTC Chief Compliance Officers DSIO FCMs Major Swap Participants Swap Dealers

FCMs Required to Have Chief Compliance Officer by March 29

Commodity Futures Trading Commission Regulation 3.3, which requires each futures commission merchant (FCM) to designate a chief compliance officer (CCO), will become effective on March 29, 2013 in respect of FCMs that are not...more

3/20/2013 - CFTC Chief Compliance Officers Compliance FCMs NFA Reporting Requirements

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