federal_register: 2023-28745

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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
2023-28745 Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants Proposed Rule The Commodity Futures Trading Commission (CFTC or Commission) is proposing to require that futures commission merchants, swap dealers, and major swap participants establish, document, implement, and maintain an Operational Resilience Framework reasonably designed to identify, monitor, manage, and assess risks relating to information and technology security, third-party relationships, and emergencies or other significant disruptions to normal business operations. The framework would include three components--an information and technology security program, a third-party relationship program, and a business continuity and disaster recovery plan--supported by broad requirements relating to governance, training, testing, and recordkeeping. The proposed rule would also require certain notifications to the Commission and customers or counterparties. The Commission is further proposing guidance relating to the management of risks stemming from third-party relationships. 2024-01-24 2024 1 https://www.federalregister.gov/documents/2024/01/24/2023-28745/operational-resilience-framework-for-futures-commission-merchants-swap-dealers-and-major-swap https://www.govinfo.gov/content/pkg/FR-2024-01-24/pdf/2023-28745.pdf Commodity Futures Trading Commission 77 The Commodity Futures Trading Commission (CFTC or Commission) is proposing to require that futures commission merchants, swap dealers, and major swap participants establish, document, implement, and maintain an Operational Resilience Framework... 3038-AF23

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