Cea section 4s k
WebMixed swap has the meaning set forth in CEA section 1a(47)(D), and refers to an instrument that is in part a swap subject to the jurisdiction of the Commission, ... Web5 Sections 4s(e) through 4s(k), respectively, added to the CEA by Dodd-Frank Act Section 731. 6 Section 4s(1), added to the CEA by Dodd-Frank Act Section 724(c). 7 Section 17(Q)(1) excepts from this authority a member who is a "registered entity." CEA Section 1 a( 40) defines this term to include, among other persons, a board of trade ...
Cea section 4s k
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WebSection 23.704(a) makes the Chief Compliance Officer of the SD or MSP required by section 4s(k) of the CEA responsible for such report. Section 22.704(b) provides that this obligation shall apply no earlier than the ninetieth calendar day after the first swap is transacted between the counterparties. 2. Indicate how, by who WebThe Commodity Exchange Act (CEA) is codified at 7 USC 1, et seq. Since the CEA sections do not always correspond numerically to the U.S. Code sections, we have provided a …
WebJul 19, 2011 · Section 4 (c) of the Commodity Exchange Act A. The Proposed Order B. Comments C. Commission Determination V. Paperwork Reduction Act VI. Cost-Benefit Considerations 1. Protection of Market Participants and the Public 2. Efficiency, Competition, and Financial Integrity 3. Price Discovery 4. Sound Risk Management Practices 5. WebCEA section 4s(k)(2)(A), regulations 3.3(a)(1) and (2) require either the board or the senior officer to: (i) appoint the CCO; (ii) approve the CCO’s compensation; (iii) meet with the …
WebAmong these are CEA Section 4s(k) and CFTC Regulations 3.1 and 3.3, which require SDs to: Employ a dedicated chief compliance officer (CCO), under CFTC Regulation 3.3(a). … WebMar 30, 2012 · Section 4d(d) of the CEA requires an FCM to designate an individual as its CCO and Section 4s(k) of the CEA imposes the same requirement on SDs and MSPs. Section 4s(k) provides a list of enumerated duties of a CCO at an SD or MSP whereas Section 4d(d) only requires that the CCO of an FCM “perform such duties and …
Web5 Sections 4s(e) through 4s(k), respectively, added to the CEA by Dodd-Frank Act Section 731. 6 Section 4s(l), added to the CEA by Dodd-Frank Act Section 724(c). 7 Section 17(o)(1) excepts from this authority a member who is a “registered entity.” CEA Section 1a(40) defines this term to include, among other persons, a board of trade ...
WebApr 9, 2024 · Section 4s(e) of the Commodity Exchange Act (“CEA”) requires the Commission to adopt rules establishing minimum initial and variation margin requirements for all swaps that are (i) entered into by an SD or MSP for which there is no Prudential Regulator (collectively, “covered swap entities” or “CSEs”) and (ii) not cleared by a ... infrared no contact thermometerWebNov 16, 2016 · language in CEA section 4s(k)(3)(B) requiring the CCO to ‘‘annually’’ prepare a compliance report to accompany each ‘‘appropriate’’ financial report does not … infrared no touch thermometerWebSection 731 of the Dodd-Frank Act added Section 4s(k) to the CEA, which requires SDs and MSPs to ... Dodd-Frank Act added Section 4d(d) to the CEA requiring that each FCM designate a CCO and that the CFTC promulgate specific rules concerning the duties of a CCO of an FCM. -2- CFTC Staff Guidance on Chief Compliance Officer Annual Reports ... mitchell gordon iris openspaceWebJul 1, 2011 · The affected provisions are: Section 742(c) amends Commodities Exchange Act (“CEA”) Section 4s(1) to create segregation requirements on collateral collected by swap dealers and major swap participants for uncleared swaps. infrared nuwave ovenWebMay 8, 2024 · duties described in CEA sections 4d(d) and 4s(k).7 B. Consistency With SEC Rules Using language identical to CEA section 4s(k), the Dodd-Frank Act amended the … infrared object detection githubWebSince the CEA sections do not always correspond numerically to the U.S. Code sections, we have provided a chart, which lists the sections of the CEA and their corresponding sections in the United States Code. For instance, Section 3 of the CEA is codified at 7 USC 5. mitchell golf courseWebCEA Section 4s(k) also assigns the CCO with several duties and expressly provides that for one of those duties – resolving conflicts of interests – the CCO shall consult with the … infrared objects censored by nasa