MFA submitted a comment letter to the CFTC in response to proposed internal business conduct rules for swap dealers and […]
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Issues & Policy 
Comment Letter Responding to CFTC’s Proposed Internal Business Conduct Rules for Swap Dealers and Major Swap Participants01.18.11
MFA submitted a comment letter to the CFTC in response to proposed internal business conduct rules for swap dealers and […]
Topics: Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants chief compliance officer, futures commission merchant, swap dealer, Major Swap Participant, Commodity Futures Trading Commission, CFTC, Business Conduct Standards, SDs, MSPs, reduce risk, Increase Transparency, market integrity, Fiduciary Obligations, Futures Markets, derivatives markets, Supervisory Duties, CCO, Annual Report, Disclosure, Inquiry, diligence, Diligent Supervision Rule, National Futures Association, NFA, futures commission merchants, FCMs, market makers, Informational Partitions, Research Department, Trading Department, Compliance Policies,