Swap Dealers

GPTKB entity

Statements (51)
Predicate Object
gptkbp:instanceOf Financial Market Participant
gptkbp:definedIn gptkb:Dodd-Frank_Wall_Street_Reform_and_Consumer_Protection_Act
gptkbp:engagedIn Swap Transactions
https://www.w3.org/2000/01/rdf-schema#label Swap Dealers
gptkbp:mayInclude gptkb:Broker-Dealers
gptkb:Banks
gptkb:Hedge_Funds
Insurance Companies
gptkbp:mustRegisterWith gptkb:SEC
gptkb:CFTC
gptkbp:regulates gptkb:Commodity_Futures_Trading_Commission
gptkb:Securities_and_Exchange_Commission
gptkbp:role Counterparty to Swaps
Market Liquidity Provider
gptkbp:subject gptkb:Volcker_Rule
gptkb:Business_Continuity_Planning
Stress Testing Requirements
Capital Requirements
Reporting Requirements
Business Conduct Standards
Margin Requirements
Position Limits
Prudential Regulation
Internal Controls
Annual Compliance Reporting
Anti-Fraud Provisions
Anti-Money Laundering Rules
Chief Compliance Officer Requirements
Clearing Requirements
Conflict of Interest Rules
Cross-Border Rules
Customer Protection Rules
Daily Trading Records Requirements
Dispute Resolution Procedures
Know Your Customer Requirements
Large Trader Reporting
Portfolio Compression Requirements
Portfolio Reconciliation Requirements
Real-Time Public Reporting
Recordkeeping Requirements
Registration Requirements
Risk Exposure Reporting
Risk Management Standards
Segregation of Collateral Rules
Supervision Requirements
Swap Data Repository Reporting
Swap Dealer De Minimis Exception
Swap Execution Facility Rules
Trade Acknowledgment Requirements
gptkbp:bfsParent gptkb:Derivatives_Regulation
gptkbp:bfsLayer 6