CFTC proposes to amend timing for filing chief compliance officer annual reports

The US Commodity Futures Trading Commission (CFTC) is to publish proposed amendments to CFTC regulation 3.3 which would provide futures commission merchants, swap dealers, and major swap participants additional time to file chief compliance officer annual report.

The proposed amendments would also clarify the timing of the filing requirements applicable to swap dealers and major swap participants located in jurisdictions for which the CFTC has granted a comparability determination with respect to the contents of the reports.

If adopted, the proposed rule would effectively codify and supersede CFTC Staff Letter No 15-15 issued 27 March 2015.

The CFTC is seeking comments on the proposed amendments. The comment period ends 30 days after the proposal’s publication in the Federal Register.

All comments will be posted to the CFTC’s website.

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