CFTC Roundtable to Discuss Customer Protection Requirements for FCMs

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[authors: Kevin M. Foley, Blake J. Brockway]

The staff of the Commodity Futures Trading Commission will hold a public roundtable on Thursday, August 9 at 9:30 a.m. Eastern Time to discuss customer protection requirements for futures commission merchants (FCMs). The roundtable is scheduled to discuss: (i) self-regulatory organization (SRO) examination requirements for FCMs; (ii) CFTC oversight of SRO examination programs; (iii) the role of independent certified public accountants in the examination process; and (iv) customer protection requirements for FCMs, including various proposals related to customer-segregated funds.

The CFTC press release containing further information regarding the roundtable is available here.

 

Published In: Administrative Agency Updates, 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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