Dodd-Frank takes compliance to new level for FCMs

08/17/2014 | MarketsMedia

The Dodd-Frank Act requires that futures commission merchants certify annually that they are in compliance with every aspect of the regulations. "Regulators have had certification processes where you had to certify that you had reasonable procedures in place, it just wasn't this very granular compliance with every rule," said Rick Schell, founder and managing partner of Automated Compliance Management.

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