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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A bank registered as a swap dealer and an introducing broker settled CFTC charges for recordkeeping and supervision failures.
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.
A futures commission merchant settled charges with the National Futures Association for failing to maintain communications records and for failing to protect customer information.
An introducing broker settled charges with the National Futures Association for failing to comply with recordkeeping requirements and to ensure proper registration of individuals.