CFTC Releases Results of Limited Reviews of Future Commission Merchants

Posted on January 27, 2012 by Kevin M. Foley

Co-authored by Christopher H. Mendoza and Christian B. Hennion.

On January 25, the Commodity Futures Trading Commission released the findings of limited reviews of future commission merchants (FCMs) conducted to assess compliance with requirements to segregate customer funds (including a review of an FCMs obligation to set aside, in secured accounts, funds deposited by customers for trading on foreign boards of trade). As of the review date for each FCM, all of the FCMs that were reviewed were in compliance with the segregation or secured amount requirements.

Further information regarding the scope, methodology, and findings of the limited review are available here.

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