19-17 Guide for FCMs

Determine which Trading Accounts need a Beneficial Owner CFTC 19-17 Contact

The Accounts Inventory Report and FiaBatch extract are both auto generated twice a day and are available for download via the Notifications section of the OCR Dashboard or via the SFTP outbox.  Both reports may be be helpful for firms in identifying which Trading Accounts will require a 19-17 Contact.

Flag Trading Accounts

After determining which Trading Accounts should be flagged as "19-17 Contact Required" you may update this field in the UI or in bulk via a FiaBatch upload. 

Download the 19-17 Contact Report

After setting the appropriate accounts to "Requires Beneficial Owner CFTC 19-17 Contact = Yes" go to the Notifications section of the OCR Dashboard and download the "CFTC 19.17 Validation report". (report auto-generated twice a day)

The Validation report will display the details of any Trading Accounts that have been flagged as requiring a 19-17 Contact but do not currently have one populated.   The report will also display the user email address or participant email address of the profile manager for outreach purposes.  Please feel free to email the client guide to any buy-side clients who may need assistance adding 19-17 contacts to owner profiles.