CFTC’s Division of Swap Dealer and Intermediary Oversight Is

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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers
12/14/2012 03:24 PM EST

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides certain swap dealers with limited relief surrounding the requirement that chief compliance officers of such swap dealers prepare and submit an Annual Report, pursuant to Commission Regulation 3.3.
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