CFTC Division of Market Oversight Issues No-Action Relief from Certain Timing Requirements Regarding SEF Chief Compliance Officer Annual Compliance Reports and Fourth Quarter Financial Reports

Orrick - Finance 20/20

On November 20, 2017, the Commodity Futures Trading Commission (“CFTC“) provided “no-action relief to swap execution facilities [] from the timing requirement within CFTC regulation 37.1501(f)(2), which requires a chief compliance officer” to provide a yearly compliance document to the CFTC in a specific timeframe, in addition to other relief.  The relief “expire[s] on November 30, 2020 at 11:59 pm (EST)”.  Release.


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