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Compliance, Financial Regulation 22 Jan 2025 compliance, consumer protection, reporting and recordkeeping requirements, brokers, commodity futures, swaps, margins, cash management, customer protection, futures commission merchants

📉New Margin Requirements for Futures Commission Merchants Effective March 2025

The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations, adopted under the Commodity Exchange Act (CEA), to require a futures commission merchant (FCM) to ensure a customer does not withdraw funds from its account with the FCM if the balance in the account after the withdrawal would be insufficient to meet the customer's initial margin requirements; and relatedly, to permit an FCM, subject to certain requirements, to treat the separate accounts of a single customer as accounts of separate entities for purposes of certain Commission regulations.

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Compliance, Regulatory Changes 17 Jan 2025 regulatory compliance, securities, banking, business and industry, electronic filing, administrative practice and procedure, reporting and recordkeeping requirements, business operations, aliens, inflation adjustment, penalties, law enforcement, investigations, small businesses, indians, authority delegations (government agencies), brokers, terrorism, banks, savings associations, investment companies, holding companies, indians-tribal government, indians-law, citizenship and naturalization, insurance companies, fincen, time, commodity futures, currency, financial penalties

⚖️FinCEN Final Rule

FinCEN is publishing this final rule to reflect inflation adjustments to its civil monetary penalties as mandated by the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended. This rule adjusts certain maximum civil monetary penalties within the jurisdiction of FinCEN to the amounts required by that Act.

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