Tag Archives: reporting

Breaking- CFTC Staff Offers Relief from Reporting and SEF Rulebook Enforcement Obligations In a Series of Letters

By Andrew Cross and Tom Watterson Last night the CFTC Division of Market Oversight (“DMO”) released CFTC Letters 13-55, 13-56, and 13-57. CFTC Letters 13-56 and 13-57 are particularly relevant for market participants other than SEFs. CFTC Letter 13-55 provides no-action relief to the SEFs for compliance with the Part 43 reporting obligations and the … Continue Reading

Getting Ready For Dodd-Frank: The ISDA Dodd-Frank Protocol & Where to Learn More About Legal Entity Identifiers (LEIs)

The Time Is At Hand… If you have not yet started to get serious about getting your company ready for Dodd-Frank’s derivatives market regulatory reforms, now is the right time to do so. In sum, your company may need to take several actions over the next few weeks, like dealing with ISDA’s Dodd-Frank Documentation Initiative … Continue Reading

CFTC to hold Public Meeting on December 1st on Sixth Series of Proposed Rules

Reminder: Public Meeting December 1st WHAT: CFTC to hold Public Meeting on Sixth Series of Proposed Rules.  Topics  to be discussed Core principles and other requirements for designated contract markets; General regulations for derivatives clearing organizations; Information management requirements for derivatives clearing organizations; Reporting, recordkeeping and daily trading records requirements for swap dealers and major swap participants; … Continue Reading