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Dodd-Frank Act Compliance Checklist for Swap End-Users
13 November 2012
View Client Update
Certain derivatives regulations adopted pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act will affect derivatives end-users. While the Commodity Futures Trading Commission (the "CFTC") has finalized most of its regulations, the Securities and Exchange Commission (the "SEC") has not finalized a number of implementing regulations applicable to security-based swaps.
This client update sets forth a checklist of the actions to be taken by derivatives end-users to satisfy the currently applicable CFTC regulations.
We continue to monitor this regulatory area and will update you as the CFTC and the SEC adopt further regulations that affect derivatives end-users.
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