Regfo
highfinancial-integrity-of-transactions

§ 38.605 Requirements for financial surveillance program.

Requirements for financial surveillance program

Core Principle: Core Principle 11 — Financial Integrity of Transactions

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A designated contract market's financial surveillance program for futures commission merchants, retail foreign exchange dealers, and introducing brokers must comply with the requirements of § 1.52 of this chapter to assess the compliance of such entities with applicable contract market rules and Commission regulations.