Key Dodd-Frank Compliance Considerations for End-Users

August 31, 2012 Read the memo

The Dodd-Frank Act requires the CFTC and SEC to issue a multitude of rules and regulations to implement the detailed regulatory regime for swaps and security-based swaps outlined by the Dodd-Frank Act.  To date, the CFTC has finalized most rules and issued compliance schedules with respect to many obligations under such rules.  Phase-in of the new regime is set to begin on October 12, 2012 and will extend over several months.  This alert outlines key considerations, timelines and action steps to aid corporate and investment fund end-users in their preparation to comply with the new regulatory regime.