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UNITED STATES OF AMERICA Before the COMMODITY FUTURES TRADING COMMISSION RECEIVED CFTC___ In the Matter of: JPMorgan Chase Bank, N.A., J.P. Morgan Securities LLC, and J.P. Morgan Securities plc, Respondents.
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01
To fill out swap dealer associated persons form, follow these steps:
02
Fill out personal information section: Provide your name, contact details, and any relevant identification numbers.
03
Provide employment history: List your previous employers, including the dates of employment and the positions held.
04
Disclose disciplinary history: Indicate whether you have ever been subject to disciplinary actions or investigations.
05
Provide educational background: List your educational qualifications, including any degrees or certifications obtained.
06
Declare outside business activities: Disclose any other business or employment activities that you are involved in.
07
Sign and date the form: Once you have completed all the required sections, sign and date the form to certify its accuracy and completeness.
08
Submit the form: Send the completed form to the appropriate regulatory authority or compliance department as instructed.

Who needs swap dealer associated persons?

01
Swap dealer associated persons are required by regulatory authorities such as the U.S. Commodity Futures Trading Commission (CFTC).
02
Any individual or entity that engages in swap dealing activities needs to have associated persons who are registered or qualified to act as such.
03
This includes swap dealers, futures commission merchants, and introducing brokers.
04
The purpose of having associated persons is to ensure that those involved in swap dealing activities meet certain standards and qualifications.
05
These individuals help to facilitate and manage the trading activities, compliance, and risk management associated with swaps.
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Swap dealer associated persons are individuals who are involved in the activities of a swap dealer, including those who engage in, solicit, or supervise swap transactions on behalf of the dealer.
Swap dealers and their associated persons are required to file swap dealer associated persons to ensure regulatory compliance and transparency in trading activities.
To fill out swap dealer associated persons, one must provide relevant information such as identification details, roles within the swap dealer, and any required disclosures as specified by regulatory guidelines.
The purpose of swap dealer associated persons is to monitor and regulate the conduct of individuals involved in swap transactions, ensuring they adhere to compliance and regulatory standards.
Information that must be reported includes the person's full name, job title, role, registration details, and any disciplinary history related to swap activities.
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