Rule 15c3-4; Internal Risk Management Control Systems.

OMB 3235-0497

OMB 3235-0497

Rule 15c3-4 requires OTC derivatives dealers to establish and document a risk management control system. In addition, the Rule establishes basic principles and minimum standards governing the creation, execution, and review of a firm's risk management control system. These principles and standards are designed to ensure the integrity of the risk measurement, monitoring, and management process.

The latest form for Rule 15c3-4; Internal Risk Management Control Systems. expires 2022-05-31 and can be found here.

OMB Details

Rule 15c3-4; Internal Risk Management Control Systems - existing respondents

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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