Page 48 - 期货和衍生品行业监管动态（2023年9月刊）

期货和衍生品行业监管动态

(Identified Party) on question 8 on Forms 40 and 40S (conditioned on the means

of communication provided being monitored by a person or persons who

promptly provide(s) contact information for a representative of the relevant

Identified Party authorized to discuss OCR information with CFTC staff);

• Failure to answer question 12 on Forms 40 and 40S regarding those who directly

or indirectly influence or exercise authority over, but do not control, a reporting

party’s trading; and

• Failure to file change updates to Forms 40 or 40S other than in response to a

special call pursuant to §§ 18.04 or 20.5(b).

The no-action position will remain in effect until the earlier of: (a) the later of the

applicable effective date or compliance date of a Commission action, such as a

rulemaking or order, addressing such obligations and (b) September 30, 2024. DMO

plans to use the extended period to consider whether to recommend the CFTC pursue
changes to the OCR Final Rule.

https://www.cftc.gov/PressRoom/PressReleases/8782-23

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