The Division of Swap Dealer and Intermediary Oversight (DSIO) primarily oversees derivatives market intermediaries, including commodity pool operators, commodity trading advisors, futures commission merchants, introducing brokers, major swap participants, retail foreign exchange dealers, and swap dealers, as well as designated self-regulatory organizations.
DSIO’s mission is to protect derivatives market users and their funds by ensuring the financial integrity, fitness, and fair business conduct of derivatives market intermediaries.
DSIO achieves its mission by:
- examining intermediaries and designated self-regulatory organizations;
- maintaining appropriate standards for registration of intermediaries;
- providing expertise to the Commission in its promulgation of rules; and
- issuing concise and timely interpretations and guidance for intermediaries.
DSIO is organized into four branches: Office of the Chief Counsel; Examinations; Managed Funds & Financial Requirements; and Registration & Compliance.
Chief Counsel Branch
Chief Counsel Frank Fisanich
Associate Chief Counsel Andrew Chapin
Deputy Director Joseph Sanguedolce
Associate Director (Kansas City) Thomas Bloom
Associate Director (Chicago) Carrie Coffin
Associate Director (New York) Gerald Nudge
Associate Director (Kansas City) Ralph White
Managed Funds & Financial Requirements Branch
Deputy Director Thomas Smith
Associate Director Josh Beale
Associate Director Warren Gorlick
Associate Director Amanda Olear
Registration & Compliance Branch
Acting Deputy Director Amanda Olear
Associate Director Rajal Patel
Registrants can notify DSIO staff of disruptions or other material events which do not require formal notification to the Commission (e.g., Regulation 1.12 notices) via email at [email protected]