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Expert Analysis

Tips For CCOs Submitting Annual Compliance Reports

By Ryan Hayden, Stacie Hartman and Coy Garrison (March 13, 2024, 5:01 PM EDT) -- Annual report season is here for chief compliance officers of futures commission merchants, swap dealers and security-based swap dealers with calendar fiscal years.[1] This year's submission may be the most critical to a registrant's program yet....

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