Relaxation of compliance timelines extends filing deadlines for trading and clearing members amid pandemic disruptions. Temporary extension of compliance timelines for trading members and clearing members due to the COVID 19 pandemic, moving prescribed due dates to later dates for enumerated regulatory filings-including client funding reporting, AI/ML reporting, margin trading compliance certificates, risk based supervision, internal audit reports for the half year ending March, system audits (including algo audits), and net worth certificates-with relaxations effective from original due dates until stated extended dates while certain reporting obligations, such as non collection/short collection of margins, continue to be required.
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Relaxation of compliance timelines extends filing deadlines for trading and clearing members amid pandemic disruptions.
Temporary extension of compliance timelines for trading members and clearing members due to the COVID 19 pandemic, moving prescribed due dates to later dates for enumerated regulatory filings-including client funding reporting, AI/ML reporting, margin trading compliance certificates, risk based supervision, internal audit reports for the half year ending March, system audits (including algo audits), and net worth certificates-with relaxations effective from original due dates until stated extended dates while certain reporting obligations, such as non collection/short collection of margins, continue to be required.
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