Latest News
- Disaster and Business Continuity
- Derivatives Operations +
-
Securities Operations
+
- Affirmation, Allocation & Confirmation
- Back Office
- Buy-Side
- Case Studies
- Clearing
- Corporate Actions
- Data Management
- FX Operations
- Hedge Fund Operations
- Industry News
- Mergers & Acquisitions
- Middle-Office
- Operational Risk
- Ops Automation
- Outsourcing
- Private Markets
- Reconciliation & Exceptions
- Risk Management
- Sell-Side
- Settlement
- T+1 Settlement
- Diversity & Human Interest +
- FinTech Trends +
- Opinion +
- Performance Measurement +
- Regulation & Compliance +
- Industry News +
- FTF Media & Content Channels +
- FTF Bull Run Blog
The CFTC’s division of swap dealer and intermediary oversight (DSIO) reports that swap dealers and major swap participants may now submit their chief compliance officers’ annual reports to the CFTC through an online filing system, WinJammer, and do not need to use the commission’s own web portal.
The Winjammer software was developed jointly by the CME Group and the National Futures Association, according to the NFA.
The CFTC’s regulation 3.3(f) requires that the CCOs of dealers and other market participants furnish annual reports to the commission. In March of last year, the commission launched its own web-based portal to facilitate the furnishing of CCO annual reports. Recently, the commission notes, the NFA “changed its rules to require that SDs [swap dealers] and MSPs [major swap participants] submit their CCO annual reports to NFA as well, upon request.” As of January 23, those submissions are made via Winjammer.
“Since CCO annual reports submitted by SDs and MSPs through WinJammer will be furnished to the CFTC automatically, SDs and MSPs need not use the commission’s Web portal to re-submit those same reports to the commission,” CFTC officials note.
Need a Reprint?
Leave a Reply