Comments on CFTC proposed rules on governance and conflict standards for Designated Contract Markets and Swap Execution Facilities are due on or before April 22, 2024.
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The CFTC proposed new rules and amendments establishing governance and fitness requirements with respect to market regulation functions and conflict of interest standards at Designated Contract Markets and Swap Execution Facilities.
NFA extended relief through the end of 2022 from the requirement to conduct on-site annual inspections of branch offices and guaranteed introducing brokers.
NFA adopted an amendment to the examination requirement for branch office managers of firms that engage only in swap activities.
NFA filed with the CFTC proposed amendments to the examination requirement for branch office managers and designated futures principals that engage in swap activities.