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CFTC customer fund protection rule
2015年12月31日funds, and cleared swaps funds are protected; customers are provided with appropriate notice of the risks of futures.
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2016年8月8日DCR's interpretative letter sets forth staff's view that it would be inconsistent with CFTC regulations for a DCO to accept or hold initial ...
2013年10月30日protect customer funds. 12 and maintain the minimum financial requirements mandated by the Act and Commission regulations.
2014年10月30日Audit Result of the CFTC Customer Protection Fund Financial ... Reform and Consumer Protection Act. We have applied certain limited ...
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Segregated Funds and Net Capital Information. The CFTC requires each futures commission merchant to make certain financial information available to ...
CFTC Regulation 1.22 prohibits an FCM from using one customer's funds to meet the obligations of another customer. Similarly, CFTC Regulation 22.2(d) ...
12/05/2001 Proposed Rule 41.42 - Treatment of Customer Funds; Applicability of CFTC and SEC Customer Protection, Recordkeeping, and Bankruptcy Rules and the ...
由 RM Brown 著作2014被引用 1 次(CFTC) recent overhaul of its customer protection rules, ... requirements on FCMs and DCOs in their handling of customer funds.
You may conclusively presume that any withdrawal from the Account(s) and the balances maintained therein are in conformity with the Act and CFTC regulations ...
Consistent with CFTC regulations, CME Clearing's segregation arrangements require that customer positions and funds (e.g., performance bond) are segregated ...

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