Registration plans evolve for SBS dealing entities.

• Autores: James Schwartz
• Localización: International financial law review, ISSN-e 0262-6969, Vol. 35, Nº. 34 (8/29/2016), 2016, págs. 9-9
• Idioma: inglés
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• Resumen

  • The article reports that the U.S. Securities and Exchange Commission (SEC) is finalising its framework for security-based swap (SBS) dealer registration as firms need to execute compliance plans. Topics covered include the U.S. Commodity Futures Trading Commission (CTFC) requiring swap dealers to register based on Title VII of the Dodd-Frank Act and the need for SBS dealers to consider their internal division of labour for SBS processes and compliances.