Cftc 1.31
WebEach commodity pool operator registered or required to be registered under the Act must make and keep the following books and records in an accurate, current and orderly manner. Books and records that are not maintained at the pool operator's main business office shall be maintained by one or more of the following: the pool's administrator, distributor or …
Cftc 1.31
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WebNov 6, 2024 · To provide an overview of the Commodity Futures Trading Commission’s (the “CFTC” or “Commission”) recent amendments to CFTC Rule 1.31, which sets forth recordkeeping requirements for all records required to be kept pursuant to the Commodity Exchange Act (“CEA”) and Commission regulations.,This article discusses the significant … WebJun 6, 2024 · On May 23, 2024, the Commodity Futures Trading Commission (the "CFTC" or "Commission") issued final rules to amend and reorganize CFTC Rule 1.31…
WebOn May 23, 2024, the Commodity Futures Trading Commission (the “CFTC” or “Commission”) issued final rules to amend and reorganize CFTC Rule 1.31, which sets forth recordkeeping requirements for all records required to be kept pursuant to the Commodity Exchange Act (“CEA”) and Commission regulations[1]. Rule 1.31 also … Web§ 1.31 Regulatory records; retention and production. (a) Definitions. For purposes of this section: Electronic regulatory records means all regulatory records other than regulatory … Records entity Records entity means any person required by the Act or … Unless specified elsewhere in the Act or Commission regulations in this chapter: … Futures commission merchants that establish and enforce written policies …
http://finance.ce.cn/futures/qhgdbd/202404/12/t20240412_38494477.shtml WebCommodity Futures Trading Commission (CFTC) in 17 CFR § 1.31(c)-(d), which regulates commodity futures trading. Commission Delegated Regulation (EU) 2024/565 of 25 April 2016
WebJul 14, 2024 · The U.S. Commodity Futures Trading Commission (CFTC) recently adopted amendments to CFTC Regulation 1.31 (Final Rule), which governs the …
WebThe Commodity Futures Trading Commission (CFTC), an independent US federal agency, regulates the commodity futures and options markets and, more recently, the swaps market. The long-standing CFTC Rule 1.31 defines records retention requirements established by SEC Rule 17a-4 (f). i \u0026 pr odisha twitterWebCftc definition, Commodity Futures Trading Commission. See more. netherland stereotypesWebA futures commission merchant may deposit futures customer funds, subject to the risk management policies and procedures of the futures commission merchant required by § 1.11, with the following depositories: (1) A bank or trust company; (2) A derivatives clearing organization; or (3) Another futures commission merchant . i \u0026 s buildtechWebJun 30, 2024 · CFTC Rule 1.31 states that electronic communications ie: any form of written communication, must be retained for a period of five years while voice communications must be retained for only one year. The grey area in the middle concerns voice transcription data generated by communications surveillance software. netherlands testingWebCHAPTER I—COMMODITY FUTURES TRADING COMMISSION; PART 23—SWAP DEALERS AND MAJOR SWAP PARTICIPANTS; Subpart F—Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants § 23.201 Required records. 17 CFR § 23.201 - Required records. netherlands temperature in decemberWebThe Risk Management Program of each futures commission merchant shall include, at a minimum, the following elements: ( 1) Identification of risks and risk tolerance limits. ( i) The Risk Management Program shall take into account market, credit, liquidity, foreign currency, legal, operational, settlement, segregation, technological, capital ... netherlands territoriesWebDec 17, 2024 · COMMODITY FUTURES TRADING COMMISSION In the Matter of: JPMorgan Chase Bank, N.A., J.P. Morgan Securities LLC, and J.P. Morgan Securities plc, Respondents. ) ) )) ) ) ) ) ) ) CFTC Docket No. 22-07 ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTION 6(c) AND (d) OF THE COMMODITY … netherlands territory map