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ARTICLE · 19 FEBRUARY 2019

CFTC Compliance Divisions Publish Examination Priorities

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The CFTC's Division of Market Oversight, Division of Swap Dealer & Intermediary Oversight, and Division of Clearing & Risk published examination priorities.

United StatesFinance and Banking
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The CFTC's Division of Market Oversight, Division of Swap Dealer & Intermediary Oversight, and Division of Clearing & Risk published examination priorities.

The Division of Market Oversight ("DMO") will focus on "emerging areas of self-regulation, where regulatory requirements and best practices may still be developing." The DMO stated it will conduct examinations in the following areas:

  • cryptocurrency surveillance practices;
  • surveillance for disruptive trading;
  • trade surveillance practices;
  • block trade surveillance practices;
  • market surveillance practices;
  • real-time market monitoring practices;
  • practices around market maker and trading incentive programs; and

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