CFTC Issues Guidance on New Filing Requirements


On February 5, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission issued guidance to futures commission merchants (FCMs) and depositories regarding procedures for complying with certain new filing requirements under the CFTC’s enhanced customer protection rules, which were effective January 13. The guidance provides information to FCMs and depositories for filing (i) acknowledgement letters for accounts holding customer funds, (ii) “early warning” notices and (iii) certain financial and risk reports. Additionally, DSIO reminds FCMs to use the WinJammer Online Filing System when filing all letters, notices and reports covered in the guidance. A short summary of the new and amended regulations referenced by the guidance is available in the Corporate and Financial Weekly Digest edition of November 1, 2013.  

The guidance is available here.

Topics:  CFTC, DSIO, FCMs, Filing Requirements

Published In: Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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