WebMar 2, 2024 · Data is unaudited as of December 31, 2024. This selected information should be read in conjunction with the financial statements and notes included in the Company's … WebThe annual report shall, at a minimum, contain a description of: ( 1) The written policies and procedures of the futures commission merchant, swap dealer, or major swap participant described in paragraph (d) of this section, including the code of ethics and conflicts of interest policies;
CFTC Advisory on Annual Compliance Reports - Sullivan & Crom…
WebMay 30, 2024 · Accordingly, the Commission adopted a final rule to set specific standards for compliance with DCO Core Principles.\2\ The DCO Final Rule requires the appointment of a CCO, the filing of an annual report and adherence to certain recordkeeping requirements.\3\ It also allows the Commission to collect information at other times as … WebApr 4, 2024 · The CFTC further alleged Lim was aware of the applicability of U.S. regulatory and legal requirements on Binance as far back as 2024, saying it was a “‘pain in the [butt] but its [sic] my duty’” to remind the platform’s founder of sanctions controls and that there was “‘no … way in hell I am signing off as the cco’” for ... free hiv testing raleigh
17 CFR § 3.3 - Chief compliance officer. - LII / Legal …
WebWashington, DC — The Commodity Futures Trading Commission (CFTC) unanimously approved final amendments clarifying and simplifying its regulations governing chief … WebThe annual report shall, at a minimum, contain a description of: (1) The written policies and procedures of the futures commission merchant, swap dealer, or major swap participant described in paragraph (d) of this section, including the code of ethics … (a) Definitions. For purposes of this section: Electronic regulatory records means all … (a) Except as otherwise provided in any rule, regulation or order of the … Subpart A - Registration (§§ 3.1 - 3.33) Subpart B - Temporary Licenses (§§ … WebAug 29, 2024 · include preparing and signing the CCO Annual Report. • In 2012, the CFTC implemented these requirements when it finalized the CCO Rule, which became effective on June 4, 2012. • In December 2014, in response to industry requests for guidance and clarification, the CFTC issued a staff advisory (“ Advisory 14-153 ”), 4. which provided ... free hiv testing paterson nj