Course: Proposed Rule on Profits and Related Basis Adjustments based on this document from the Federal Register: https://www.govinfo.gov/content/pkg/FR-2024-12-02/pdf/2024-27227.pdf This document contains proposed regulations regarding previously taxed earnings and...
Investment of Customer Funds by FCMs and DCOs: Navigating the CFTC Rule
This course provides an in-depth analysis of the CFTC’s new regulations affecting how Futures Commission Merchants (FCMs) and Derivatives Clearing Organizations (DCOs) manage customer funds. Learn about the latest amendments, including investment types, concentration limits, and reporting requirements, ensuring your operations are compliant and your customer funds are protected.
In this course you will learn the following:
* Identify permitted investments for customer funds under the Final Rule.
* Understand the asset-based and issuer-based concentration limits for permitted investments.
* Calculate FCM capital charges on permitted investments.
* Comprehend the requirements of the Segregation Investment Detail Report (SIDR).
* Explain the changes to customer risk disclosure statements.
* Recognize the compliance dates for implementing the Final Rule.
Additional information
| Federal Register Title | Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations. Document Number: 2024-30927 |
|---|---|
| Course SKU | FR-25-593-1 |
| Why This Course Is Important | Without this course, learners might miss out on critical compliance strategies and risk potential penalties for non-compliance with the new CFTC rule changes. |