1. Regulations
  2. title 17
  3. chapter I
  4. part 37
  5. subpart M
  6. § 37.1200

Collapse to view only § 37.1200 - Core Principle 12—Conflicts of interest.

§ 37.1200 - Core Principle 12—Conflicts of interest.

The swap execution facility shall:

(a) Establish and enforce rules to minimize conflicts of interest in its decision-making process; and

(b) Establish a process for resolving the conflicts of interest.

AUTHORITY: 7 U.S.C. 1a, 2, 5, 6, 6c, 7, 7a-2, 7b-3, and 12a, as amended by Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376.

SOURCE: 78 FR 33582, June 4, 2013, unless otherwise noted.

CITE AS: 17 CFR 37.1200