Tue, 08/04/2014 - 14:25
The Commodity Futures Trading Commission’s division of market oversight has issued the results of a rule enforcement review of OneChicago.
The division found specific areas where OneChicago should improve its trade practice programme.
Among other items, the division recommended that OneChicago take steps to ensure that its compliance surveillance department is adequately staffed to meet OneChicago’s self-regulatory responsibilities.
The division also recommended that OneChicago significantly increase the frequency and number of spot checks of exchange of future for physical and block transactions that it conducts annually.
The division had no recommendations with respect to the exchange’s automated trade practice surveillance system or the timeliness of its investigations.
The review covered the target period from 1 July 2011 through 30 June 2012 and considered changes at OneChicago after the target period.
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