The Dodd–Frank Title VII recordkeeping requirements: Finding a way to the light

Peter Von Maur

Journal of Securities Operations & Custody, 2013, vol. 5, issue 3, 237-250

Abstract: The plate of spaghetti that comprises Title VII of the Dodd–Frank Wall Street Reform and Consumer Protection Act and its implementing rules is enough to crush the will of the most seasoned financial industry professional. For organisations that engage in ‘swaps-related activities’, the prospect of determining which of the implementing rule requirements apply to them and which do not can be overwhelming, especially for those organisations that trade different types of swaps in multiple markets globally. The paper offers some (hopefully) helpful suggestions for entities trying to make their way through the recordkeeping requirements contained in Title VII’s implementing rules, particularly for non-US-based entities that will be registering/are registered as swap dealers or major swap participants under Title VII.

Keywords: swap dealers; major swap participants; Dodd–Frank Act; records; recordkeeping; CFTC Regulations (search for similar items in EconPapers)
JEL-codes: E5 G2 K22 (search for similar items in EconPapers)
Date: 2013
References: Add references at CitEc
Citations:

Downloads: (external link)
https://hstalks.com/article/881/download/ (application/pdf)
https://hstalks.com/article/881/ (text/html)
Requires a paid subscription for full access.

Related works:
This item may be available elsewhere in EconPapers: Search for items with the same title.

Export reference: BibTeX RIS (EndNote, ProCite, RefMan) HTML/Text

Persistent link: https://EconPapers.repec.org/RePEc:aza:jsoc00:y:2013:v:5:i:3:p:237-250

Access Statistics for this article

More articles in Journal of Securities Operations & Custody from Henry Stewart Publications
Bibliographic data for series maintained by Henry Stewart Talks ().