Advisory to non-U.S. swap dealers and non-U.S. major swap participants relying on substituted compliance under the terms of an applicable CFTC entity-level comparability determination with respect to the filing of an annual chief compliance officer report required pursuant to Commission regulation 3.3(f).

DMO will not recommend that the Commission take an enforcement action against any SEF or SEF CCO for failure to submit an ACR within the 60-day period prescribed in Commission regulation 37.1501(f)(2), provided that: (a) the ACR was required to be submitted to the Commission prior to September 1, 2020, pursuant to Commission regulation 37.1501(f)(2); and (b) the ACR is submitted to the Commission not later than 120 days after the end of the SEF’s fiscal year.

Advisory providing further guidance on certain requirements applicable to swap dealers, futures commission merchants, and major swap participants in connection with the preparation and submission of chief compliance officer annual compliance reports pursuant to § 3.3.

DMO is providing no-action relief to provide 30 additional calendar days for swap execution facilities to concurrently file their chief compliance officer annual compliance reports and fourth quarter financial reports with the Commission

Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.

No-Action Relief from the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers for Deutsche Bank AG.

No-Action Relief from the Timing Requirements of Commission Regulation 3.3(f)(2) Relating to Annual Reports by Chief Compliance Officers for Commerzbank AG.

The no-action letter gives relief from the timing requirements of 3.3(f)(2) for filing the Chief Compliance Officer Annual Report. The relief gives an additional 30 days to file the report.

No-Action Relief from Compliance with Certain Requirements of Commission Regulation 3.3 Relating to the Chief Compliance Officer Annual Report (Mitsui & Co. Precious Metals, Inc.)

DSIO is issuing conditional no-action relief permitting a provisionally registered swap dealer to satisfy certain of its requirements under Rule 3.3 by reporting to, and interacting with, the “governing body,” rather than the senior officer or board of directors, subject to certain conditions.