federal_register: 2013-30979

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2013-30979 Comparability Determination for Canada: Certain Entity-Level Requirements Notice The following is the analysis and determination of the Commodity Futures Trading Commission ("Commission") regarding certain parts of a joint request by the Canadian Bankers Association ("CBA"), five individual Canadian banks provisionally-registered with the Commodity Futures Trading Commission ("Commission") as swap dealers ("SDs"), and the Office of the Superintendent of Financial Institutions ("OSFI") that the Commission determine that certain laws and regulations applicable in Canada provide a sufficient basis for an affirmative finding of comparability with respect to the following regulatory obligations applicable to SDs and major swap participants ("MSPs") registered with the Commission: (i) Chief compliance officer; (ii) risk management; and (iii) swap data recordkeeping (collectively, the "Internal Business Conduct Requirements"). 2013-12-27 2013 12 https://www.federalregister.gov/documents/2013/12/27/2013-30979/comparability-determination-for-canada-certain-entity-level-requirements https://www.govinfo.gov/content/pkg/FR-2013-12-27/pdf/2013-30979.pdf Commodity Futures Trading Commission 77 The following is the analysis and determination of the Commodity Futures Trading Commission ("Commission") regarding certain parts of a joint request by the Canadian Bankers Association ("CBA"), five individual Canadian banks provisionally-registered...  

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