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June 4, 2014
NFA to hold an audio conference to help swap dealer and major swap participant members prepare for exams
On Thursday, June 5, at 11:00 a.m. EDT, NFA will host an audio conference, "NFA's Examination Approach for Swap Dealers and Major Swap Participants." The conference will describe the proposed approach for NFA's swap dealer (SD) and major swap participant (MSP) examination program.
As part of the examination process, NFA's OTC Derivatives staff will visit Member firms to assess compliance with NFA Member rules incorporating relevant CFTC regulations, and will conduct ongoing monitoring activities.
"The launch of the examination program marks a critical milestone in the implementation of Title VII under Dodd-Frank, and we expect that we will learn a lot from each other, especially in these early days," says Jamila Piracci, vice president, OTC Derivatives. "It's critical that we keep the lines of communication open between NFA and our SD and MSP Members. Our hope is that that this audio conference will begin a dialogue with our Members that will continue in the months to come."
NFA expects to begin performing examinations of provisionally registered SD and MSP Member firms later in 2014.
During the audio conference, a number of NFA senior staff will speak, including:
- Jamila Piracci, Vice President, OTC Derivatives
- Shuna Awong, Director, OTC Derivatives
- Cliffe Allen, Director, OTC Derivatives
- Dan Dan Liu, Manager, OTC Derivatives
The speakers also will answer questions submitted by attendees at the conclusion of the presentation.
There is no cost to participate in the conference, but advanced registration is strongly encouraged. To register for the conference, click here.
A recording of the event will be available on demand on NFA's website beginning June 6.
For more information about the audio conference, visit NFA's website.