Dodd Frank Reporting

The Dodd Frank Act (DFA) is aimed at improving transparency and reducing risks in derivative markets. It is a wide-ranging package of obligations on firms based in the US and in other jurisdictions relating to their internal and external business conduct, including reporting.

What do you have to report?

Firms trading derivatives must report details of swaps to the Commodities and Futures Commission (CFTC) via a Swap Data Repository (SDR). This includes the primary economic terms and any event that affects the valuations or terms of the contract (Part 45) to allow regulators to monitor systemic risk. There is also an obligation on firms to report in real-time to provide transparency on pricing to the market.

Like EMIR, DFA covers over-the-counter derivatives but unlike EMIR it excludes exchange-traded derivatives.

How we can help

Our ReportShield™ quality assurance services give you the ability to demonstrate appropriate controls over your reporting obligations for Parts 43, 45 and 46.

Accuracy Testing

The testing gold standard, providing the maximum level of protection against regulatory challenge. Learn more

Advanced Regulatory Reconciliation

Our end-to-end reconciliation service tests for the completeness of regulatory reporting. Learn more

Control Framework

Together with data quality, a robust control framework is a key expectation of regulators. Learn more

Dodd Frank Reporting

Is your CFTC and SEC reporting accurate and complete?

For a conversation with one of our regulatory specialists, please get in touch.

* indicates required fields

Newsletter Consent
This field is for validation purposes and should be left unchanged.