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

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  • Von Maur, Peter

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.

Suggested Citation

  • Von Maur, Peter, 2013. "The Dodd–Frank Title VII recordkeeping requirements: Finding a way to the light," Journal of Securities Operations & Custody, Henry Stewart Publications, vol. 5(3), pages 237-250, January.
    • Handle: RePEc:aza:jsoc00:y:2013:v:5:i:3:p:237-250
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    More about this item

    Keywords

    swap dealers; major swap participants; Dodd–Frank Act; records; recordkeeping; CFTC Regulations;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K22 - Law and Economics - - Regulation and Business Law - - - Business and Securities Law

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