Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) provides for comprehensive regulation of the over-the-counter (“OTC”) derivatives markets. Dealers and significant market participants will be required to register with either or both the Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”), depending on the categories of OTC derivatives in which they transact, and comply with business conduct, margin, capital, recordkeeping and reporting rules. Many other market participants will be subject to other substantial regulatory requirements.
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Swap clearing, reporting, recordkeeping and the ISDA Protocols: what do you need to know right now?
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