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
Text
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.