Customer Onboarding and Periodic Refresh; Supervisory Controls for Single Stock Futures

FIF has scheduled a call for the Compliance and Surveillance Working Group for Monday August 17 at 1 pm ET. The Working Group will discuss creating a contact list (similar to the CAT Contact List) to assist broker-dealers with onboarding broker-dealer counterparties and conducting periodic refresh processes with broker-dealer counterparties. The Working Group will also discuss challenges with implementing supervisory controls for single stock futures.