CFTC exemption to deal directly with U.S. customers
The U.S. Commodity Futures Trading Commission (“CFTC”) has issued an permitting SFC-licensed corporations to deal directly with U.S. customers in relation to trading of futures or options products on exchanges under the SFC’s oversight without having to register as futures brokers in the U.S.. Licensed corporations interested in obtaining the exemption under the CFTC Order are required to submit the application to the U.S. National Futures Association (“NFA”), which is delegated by the CFTC with the relevant responsibilities, via the SFC.
| Topic | Last Updated |
|---|---|
| Press Release 鈥� SFC welcomes U.S. CFTC exemption for Hong Kong brokers to deal directly with U.S. customers | |
| CFTC Order | |
| Circular to Corporations Licensed for Type 2 Regulated Activity 鈥� Procedures for filing an application to the CFTC for an exemption to deal directly with U.S. customers | |
Application process and templates
|
29 Sep 2020
11 Jul 2019 11 Jul 2019 11 Jul 2019 |
| Frequently Asked Questions (FAQs) on CFTC exemption to deal directly with U.S. customers | 11 Jul 2019 |