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ARTICLE · 28 FEBRUARY 2019

CFTC Divisions Outline Examination Priorities For 2019

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On February 12, 2019, the Commodity Futures Trading Commission (CFTC) published the 2019 examination priorities for its Division of Market Oversight (DMO), Division of Swap Dealer & Intermediary Oversight (DSIO) and Division of Clearing & Risk (DCR).

United StatesFinance and Banking
Donna Parisi
Donna Parisi
Geoffrey Goldman
Geoffrey Goldman
Azam Aziz
Azam Aziz
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Introduction

On February 12, 2019, the Commodity Futures Trading Commission (CFTC) published the 2019 examination priorities for its Division of Market Oversight (DMO), Division of Swap Dealer & Intermediary Oversight (DSIO) and Division of Clearing & Risk (DCR).1 This marks the first time that the agency has published its divisions' examination priorities, which serves as part of the CFTC's efforts to advance its Project KISS initiative and demonstrates areas that the divisions view as of particular importance to self-regulation in U.S. derivatives markets for the coming year.

Division of Market Oversight2

The DMO's Compliance Branch is responsible for conducting examinations of certain types of exchanges known as designated contract markets (DCMs), along with swap execution facilities (SEFs).3

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