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Comparability Determinations for Substituted Compliance Purposes

  • Comparability Determinations for Substituted Compliance Purposes

    The Commodity Futures Trading Commission has approved a series of broad comparability determinations that would permit substituted compliance with non-U.S. regulatory regimes as compared to certain swaps provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Commission’s regulations.

    View Cross-Border Application of Swaps Provisions

    As jurisdictions outside the U.S. continue to strengthen their regulatory regimes, the Commission may determine that additional foreign regulatory requirements are comparable to and as comprehensive as certain requirements under the Commodity Exchange Act and the Commission’s regulations.

    Additional Information

    Business Conduct Rules for Swap Dealers and Major Swap Participants Summary of Entity-Level Comparability Determinations

    CFTC Press Release 6802-13

    Publication
    Date

    Comparability Determination

    12/27/2013

    78 FR 78864 // PDF Version
    Australia: Certain Entity-Level Requirements
    Effective Date: Friday, December 27, 2013

    12/27/2013

    78 FR 78852 // PDF Version
    Hong Kong: Certain Entity-Level Requirements
    Effective Date: Fr iday, December 27, 2013

    12/27/2013

    78 FR 78910 // PDF Version
    Japan: Certain Entity-Level  Requirements
    Effective Date: Friday, December 27, 2013

    12/27/2013

    78 FR 78890 // PDF Version
    Japan: Certain Transaction-Level Requirements
    Effective Date: Friday, December 27, 2013

    12/27/2013

    78 FR 78899 // PDF  Version
    Switzerland: Certain Entity-Level Requirements
    Effective Date: Friday, December 27, 2013

    12/27/2013

    78 FR 78839 // PDF Version
    Canada: Certain Entity-Level Requirements
    Effective Date: Friday, December 27, 2013

    12/27/2013

    78 FR 78923 // PDF Version
    European Union: Certain Entity-Level Requirements
    Effective Date: Friday, December 27, 2013

    12/27/2013

    78 FR 78878 // PDF Version
    European Union: Certain Transaction-Level Requirements
    Effective Date: Friday, December 27, 2013

     

     

     

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