W彩票网代理:Market Regulation: Designated Contract Markets and Swap Execution Facilities

W彩票网网站 www.z8fhm.com.cn image-market-regulation

NFA has provided regulatory services to designated contract markets (DCM) for more than 15 years. The Dodd-Frank Wall Street Reform Act created a new type of trading venue for standardized swaps—swap execution facilities (SEF)—each of which has self-regulatory responsibilities to monitor trading on its platform. The CFTC's SEF rules allowed these entities to contract with NFA for regulatory services. NFA entered into Regulatory Service Agreements (RSA) to perform surveillance activities with the majority of the SEFs registered with the CFTC.

In order to provide these services, NFA requires that each DCM or SEF enter into a standardized RSA with NFA.

NFA offers a menu of regulatory services:

  • Trade Practice and Market Surveillance
  • Investigations and Disciplinary Matters
  • Audit Trail Review
  • Arbitration
  • Reporting and Recordkeeping

NFA's Team

NFA's Market Regulation team includes dedicated analysts with extensive experience in the financial markets. Each member of NFA's team is a certified fraud examiner (CFE), and many are chartered financial analysts (CFA), certified public accountants (CPA), or former traders.

Contact Us for More Information Regarding Market Regulation

Edward Dasso, III
Vice-President, Market Regulation
312-781-1677
[email protected]

Lauren Brinati
Managing Director, Market Regulation
312-781-1495
[email protected]

Jane Croessmann
Managing Director, Market Regulation
312-781-1568
[email protected]

  • 人民日报评论员:新时代推进生态文明建设的重要遵循 2019-04-24
  • 中国光大银行获第十二届人民企业社会责任奖年度扶贫奖 2019-04-23
  • 公安部A级通缉十大电信网络诈骗犯罪嫌疑人全部落网 2019-04-22
  • 2017世界厕所日暨中国厕所革命宣传日活动--旅游频道 2019-04-22
  • 端午节回归传统习俗 西安市民排队买艾草端午节艾叶-要闻 2019-04-21
  • 我国首个百亿方页岩气产能基地揭牌 2019-04-20
  • 经济日报:微观基础改善 经济稳健可期 2019-04-20
  • 警惕这些假冒高校网站!坑钱,还会毁了孩子前程! 2019-04-19
  • 人民网舆情分析专家:胡永明 2019-04-18
  • 世界杯频爆冷门网友大呼“天台见”!警方:不要冲动,不要跳楼 2019-04-17
  • 饮水思源感党恩 争做新时代好群众 2019-04-17
  • 一带一路中小企业国际合作高峰论坛花絮 2019-04-16
  • 候选案例:国酒茅台·国之栋梁 2019-04-15
  • 超励志的新疆小伙艾山江弹唱《南山南》 2019-04-15
  • 女性之声——全国妇联 2019-04-14
  • 745| 909| 449| 153| 658| 761| 393| 916| 5| 911|