OCR FAQs

1. Is account information entered in the FIA Tech OCR Data Service securely
stored?
Yes. FIA Tech is committed to maintaining the security and confidentiality of data stored in the OCR Data Service system. The system is regularly tested against penetration by hostile threats to ensure the security of the data and continuity of service for system users.

2. How often do Clients, as Profile Owners, need to update the Profiles that they
have created for their Owners and Controllers?
Clients should update their Profiles at least once a year or more often if changes occur that would
impact the correctness of data being reported.

3. If the person who created a Profile is no longer with the firm or is unable to
maintain the Profile, can the Profile owner be changed?
FIA Tech can assist when Profiles originally created by one individual are now being managed by
another. Contact FIA Tech OCR Support for assistance with assignment of the Profiles to a new
Profile owner so that the Profiles can be maintained.

4. Can Reporting Firm Users obtain copies of reports associated with their
trades that were filed with the CFTC?
Reporting Firms are provided file copies of their trading information reported to the CFTC by the OCR Data Service. These reports appear in the OCR Portal Dashboard and can be accessed by Reporting Firm Users.

5. Why do Clients need to create Profiles in the system?
Although Reporting Firm Users have the ability to create Profiles, they may not have access to owner and controller information as accurate as the information that Clients can provide. When Clients have not created Profiles, Reporting Firms do so to the best of their ability

6. Do Reporting Firms have access to information about the other Reporting
Firms with which a Client does business?
When Reporting Firms are permitted to view a Profile, they can do just that —view the Profile. They have no access to information about other firms that are also able to view the same Profile. They also have no access to information about Profiles that they do not have permission to view.

7. Can Reporting Firms edit Profiles that Clients created?
Reporting Firms can only perform one function related to a Profile, which is associating the Profile to an Account for reporting purposes. This Reporting Firm function is well within the purpose of the
system and ensures that owner and controller data is accurately reported to the CFTC for reportable trades. Reporting Firms cannot edit data in Profiles that were created by Clients and must rely on Clients to keep their Profile information up to date. If information in a Profile is obviously incorrect, a Reporting Firm may elect not to use the Profile and can create its own Profile to associate with the
relevant Accounts.