Summary of Reporting Party determination hierarchy under the CFTC’s reporting requirements and the industry agreed best practice approach to parties with the same hierarchical status. Previously published on May 30, 2014, this version reflects the industry agreed approach to reporting party determination for prime brokerage trades and updates the event type matrix to reflect when reporting party is reassessed.
This document was further updated in early 2018 to reflect industry working group agreement that “cancellable swaps” are categorized in Rates as ‘exotic’ for reporting, to help improve consistency of RCP determination for cancellable swaps.
Documents (4) for CFTC Swap Transaction Reporting Party Requirements
- CFTC Reporting Party Requirements updated Mar 12 2018 corrected public(pdf) will open in a new tab or window
- CFTC Reporting Party Requirements updated Mar 12 2018 public(pdf) will open in a new tab or window
- cftc-reporting-party-requirements-updated-apr-2-2015-finaldraft-clean(pdf) will open in a new tab or window
- cftc-reporting-party-requirements-updated-may-30-2014-v3-clean(pdf) will open in a new tab or window
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