July 14, 2020
Dodd-Frank | DTCC
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Regulatory Compliance

Dodd-Frank stipulates minimum requirements for the creation and preservation of records. Sell-side participants are required to maintain trade confirmations for no less than three years, keeping the records in “an easily accessible place” for the first two years. The Dodd-Frank act creates a new regulatory framework, by Increasing transparency in financial transactions. Mandating coordination among regulatory agencies. Establishing new registration and reporting requirements for financial firms. Establishing a dedicated consumer protection agency. 4/22/ · Specifically, pursuant to the Final Rule, a Non-SD/MSP counterparty entering into a trade option is no longer required to: (i) report the trade option on Form TO; (ii) notify the CFTC after entering into trade options exceeding $1 billion in aggregate notional value; or (iii) comply with any recordkeeping requirements (other than obtaining and providing a legal entity identifier to any SD or MSP .

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CFTC Eliminates Certain Trade Option Reporting and Recordkeeping Requirements for End Users

4/22/ · Specifically, pursuant to the Final Rule, a Non-SD/MSP counterparty entering into a trade option is no longer required to: (i) report the trade option on Form TO; (ii) notify the CFTC after entering into trade options exceeding $1 billion in aggregate notional value; or (iii) comply with any recordkeeping requirements (other than obtaining and providing a legal entity identifier to any SD or MSP . 4/2/ · The RP is the party to a swap with the responsibility to report a swap 1 to an SDR as soon as technologically practicable after execution in accordance with the Dodd Frank Act. 2 Under the Dodd‐ Frank Act and CFTC regulations, one party must bear responsibility to ensure that the trade is reported. Part 45 – Swap Data Recordkeeping and Reporting — Part 46 – Historic Trade Reporting to the SDR (Swap Data Repositories) Reporting requirements. On July 21, , President Obama signed into law the Dodd-Frank Act. Title VII of the Dodd-Frank Act amended the.

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Statutory Construction: Regulation of Derivatives Under the Dodd-Frank Act

Part 45 – Swap Data Recordkeeping and Reporting — Part 46 – Historic Trade Reporting to the SDR (Swap Data Repositories) Reporting requirements. On July 21, , President Obama signed into law the Dodd-Frank Act. Title VII of the Dodd-Frank Act amended the. 3/18/ · Accordingly, with respect to reporting, the Amendment completely eliminates the Form TO reporting requirement along with the obligation to report Trade Options having an aggregate notional value in excess of $1 billion during any calendar year. 9 Further, the CFTC’s press release related to the Amendment (though not the Amendment itself or adopting release) expresses its view that an End User is not required to report its otherwise unreported calendar year Trade Options . Metal and energy swaps. The CFTC, however, issued a final order that exempts from most of the requirements of the CEA and Dodd-Frank certain non-financial energy derivative transactions between and among government-owned and cooperatively-owned electric utilities (7 U.S.C. § 6(c)(6)(C); 16 U.S.C. § (f); 78 Fed. Reg. (Apr. 2,

Dodd-Frank: Reporting to Swap Data Repositories (SDRs) | London Stock Exchange Group
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Types of Swaps Under Title VII

3/18/ · Accordingly, with respect to reporting, the Amendment completely eliminates the Form TO reporting requirement along with the obligation to report Trade Options having an aggregate notional value in excess of $1 billion during any calendar year. 9 Further, the CFTC’s press release related to the Amendment (though not the Amendment itself or adopting release) expresses its view that an End User is not required to report its otherwise unreported calendar year Trade Options . Part 45 – Swap Data Recordkeeping and Reporting — Part 46 – Historic Trade Reporting to the SDR (Swap Data Repositories) Reporting requirements. On July 21, , President Obama signed into law the Dodd-Frank Act. Title VII of the Dodd-Frank Act amended the. 4/22/ · Specifically, pursuant to the Final Rule, a Non-SD/MSP counterparty entering into a trade option is no longer required to: (i) report the trade option on Form TO; (ii) notify the CFTC after entering into trade options exceeding $1 billion in aggregate notional value; or (iii) comply with any recordkeeping requirements (other than obtaining and providing a legal entity identifier to any SD or MSP .

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3/16/ · The CFTC approved a final rule today that removes trade option* reporting and recordkeeping requirements applicable to non-swap dealer/major swap participant counterparties (“Non-SD/MSPs” or “end users” for purposes of this summary). The rule will become effective upon publication in the federal register, which should occur prior to the April 1, expiration of the CFTC’s. Metal and energy swaps. The CFTC, however, issued a final order that exempts from most of the requirements of the CEA and Dodd-Frank certain non-financial energy derivative transactions between and among government-owned and cooperatively-owned electric utilities (7 U.S.C. § 6(c)(6)(C); 16 U.S.C. § (f); 78 Fed. Reg. (Apr. 2, 3/18/ · Accordingly, with respect to reporting, the Amendment completely eliminates the Form TO reporting requirement along with the obligation to report Trade Options having an aggregate notional value in excess of $1 billion during any calendar year. 9 Further, the CFTC’s press release related to the Amendment (though not the Amendment itself or adopting release) expresses its view that an End User is not required to report its otherwise unreported calendar year Trade Options .