Beginning April 1, National Futures Association (NFA) will require its member swap dealers (SDs) and major swap participants (MSPs) to complete the SD-MSP Annual Questionnaire as part of its annual membership renewal process. The SD-MSP Questionnaire can be accessed by logging into NFA’s Annual Questionnaire system.
As part of this year’s SD-MSP Questionnaire, each SD and MSP also must include the contact information for five key employees with knowledge of the firm’s business continuity and disaster recovery plan. Each SD and MSP also must include its chief risk officer as one of the key employees. This information must be submitted through the WinJammer system.
NFA’s Notice I-15-10 is available here.