The CFTC Market Participants Division granted no-action relief to a futures commission merchant regarding the manner in which it receives and holds funds deposited by Taiwan-based customers, when there may be a conflict between CFTC and Taiwan regulation governing the segregation of customer funds.
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NFA reminded firms that the CFTC requires any CPO that claims an exemption from registration to file a notice of exemption by March 1, 2022.
NFA provided guidance on annual affirmation obligations for CPOs and CTAs that are exempt from CFTC registration.
NFA amended its Code of Arbitration and Member Arbitration Rules to increase filing and hearing fees and provide additional flexibility for certain administrative procedures.
A futures commission merchant settled CFTC charges for failing to adequately supervise customer accounts carried on behalf of an unaffiliated introducing broker.