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Protection of customer funds - frequently asked questions

Protection of customer funds - frequently asked questions

27 May 2014 1:00pm EDT

This document, first issued in February 2012, has been prepared by members of the FIA Law and Compliance Division and contains questions and answers addressing the basics of (i) segregation, collateral management and investments, (ii) minimum financial and other requirements for futures commission merchants (FCMs) and joint FCM/broker-dealers, and (iii) derivatives clearing organization (DCO) guarantee funds. 

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Protection of Customer Funds - FAQs.pdf (677.5 KB)

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