CFTC Roundtable to Discuss Customer Protection Requirements for FCMs


[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.


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