Webactivities. CFTC Rule 1.31 establishes recordkeeping and retention standards for all registered firms. This rule explicitly states that firms may store records electronically and … WebSep 29, 2024 · The CFTC found that the companies failed to ensure that their employees, including those at senior levels, communicated internally and externally using approved communication methods, and found that employees had been engaging in business-related communications on their personal devices through unapproved …
CFTC, NFA, CME – Written Supervisory Procedures
WebElectronic Code of Federal Regulations (e-CFR) Title 17 - Commodity and Securities Exchanges; CHAPTER I - COMMODITY FUTURES TRADING COMMISSION; PART 23 - SWAP DEALERS AND MAJOR SWAP PARTICIPANTS; Subpart H - Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing With Counterparties, … WebApr 10, 2024 · On the same day, the Commodity Futures Trading Commission (the “CFTC”) also announced settled charges with 11 swap dealers and FCMs — some of which were institutions also subject to the SEC ... 卵 リング ガチャガチャ
CFTC Staff Advisory Concerning Recordkeeping …
WebCustomers and other individuals can report suspicious activities or information, such as possible violations of commodity trading laws, to the Division of Enforcement via a toll-free hotline 866-FON-CFTC (866-366-2382) or file a tip or complaint online. Tips can also be filed with the CFTC Whistleblower Office. -CFTC- News & Events Press Releases WebDec 20, 2012 · Summary. On December 17, 2012, the Commodity Futures Trading Commission (CFTC) adopted final rules amending CFTC Regulations 1.31 and 1.35. The final rules require certain market participants to record oral communications that lead to the execution of a commodity interest transaction. 1 All such recordings must be kept for a … WebElectronic Technician chez THALES COMMUNICATIONS SECURITY S.A.S Report this post Report Report 卵 ランチ 子供