file-o file-pdf-o file-word file-excel file-powerpoint file-image file-archive file-audio file-movie file-code file-openoffice file-css menu googleplus facebook instagram twitter feed youtube vimeo2 lanyrd flickr picassa deviantart github wordpress blogger tumblr yahoo soundcloud skype linkedin lastfm delicious stumbleupon stackoverflow pinterest foursquare cross arrow-left arrow-down arrow-up arrow-right arrow-left2 arrow-down2 arrow-up2 arrow-right2 arrow-left3 arrow-down3 arrow-up3 arrow-right3 search

You are here

CFTC relief allows consolidated risk disclosure statements

CFTC relief allows consolidated risk disclosure statements

1 December 2016 7:45pm EST

The CFTC's division of swap dealer and intermediary oversight on Nov. 30 issued no-action relief to FCMs and introducing brokers that streamlines the process for providing risk disclosure statements to non-institutional customers.

Specifically the relief allows FCMs and IBs to provide non-institutional customers with a single risk disclosure document that consolidates separate risk disclosure statements required by several CFTC rules.

The use of a single, combined risk disclosure statement containing the same material information currently required in several risk disclosure statements will provide greater efficiency to the marketplace and potentially less confusion to customers, the CFTC said.

 

Close

Close

Menu

Menu

Back to FIA