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January 24, 2020 Submitted via CFTC Portal Mr. Christopher J. Kirkpatrick Secretary of the Commission Office of the Secretariat Commodity Futures Trading Commission Three Lafayette Centre 1155 21st
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How to fill out swap execution facility requirements

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How to fill out swap execution facility requirements

01
Determine if you are a market participant that falls under the definition of a swap execution facility (SEF) as outlined by the Commodity Futures Trading Commission (CFTC).
02
Prepare the necessary documentation and information required by the SEF, which may include application forms, financial statements, compliance policies, and risk management procedures.
03
Submit the completed requirements to the SEF for review and approval.
04
Ensure ongoing compliance with SEF rules and regulations by maintaining accurate records and reporting any changes in market participant status.

Who needs swap execution facility requirements?

01
Market participants who wish to engage in swap transactions regulated by the CFTC need to meet SEF requirements. This includes swap dealers, major swap participants, and other entities involved in trading swaps.
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Swap execution facility requirements refer to the regulations and standards that entities must meet when operating a swap execution facility (SEF), which is a platform for trading swaps.
Entities that operate a swap execution facility or intend to operate one are required to file swap execution facility requirements.
To fill out swap execution facility requirements, operators must provide necessary documentation, meet regulatory standards, and submit operational and compliance information as mandated by regulatory authorities.
The purpose of swap execution facility requirements is to ensure transparency, reliability, and regulatory compliance in the trading of swaps, thereby promoting market integrity.
Information that must be reported includes details about the facility's operations, trading rules, market participants, and compliance measures.
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