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Publisher Description

The Law Library presents the complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition).
Updated as of May 29, 2018

The Commission hereby adopts final acceptable practices for minimizing conflicts of interest in decision making by designated contract markets (“DCMs” or “exchanges”), (1) pursuant to Section 5(d)(15) (“Core Principle 15”)  (2) of the Commodity Exchange Act (“CEA” or “Act”). (3) The final acceptable practices are the first issued for Core Principle 15 and are applicable to all DCMs. (4) They focus upon structural conflicts of interest within modern self-regulation, and offer DCMs a “safe harbor” by which they may minimize such conflicts and comply with Core Principle 15. To receive safe harbor treatment, DCMs must implement the final acceptable practices in their entirety, including instituting boards of directors that are at least 35% public and establishing oversight of all regulatory functions through Regulatory Oversight Committees (“ROCs') consisting exclusively of public directors.

This ebook contains:
- The complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition)
- A dynamic table of content linking to each section
- A table of contents in introduction presenting a general overview of the structure

GENRE
Professional & Technical
RELEASED
2018
June 20
LANGUAGE
EN
English
LENGTH
97
Pages
PUBLISHER
The Law Library
SELLER
FB Editions
SIZE
230.5
KB

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