Division of Swap Dealer and Intermediary Oversight

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.

Director

Joshua B. Sterling

 

Chief Counsel Branch

Chief Counsel Frank Fisanich

Associate Chief Counsel Andrew Chapin

 

Examinations Branch

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]

 

[email protected]