Stay current with the Commodity Futures Trading Commission’s latest correction to its business conduct and swap documentation rules for swap dealers and major swap participants. This course clarifies the technical amendment that preserves Appendix A guidance, ensuring critical compliance standards remain in effect. Learn how to implement the correct procedures for recommendations, manage safe harbor provisions, and minimize legal risk for your institution under Sections 23.434 and 23.440. Equip your team with actionable steps to meet CFTC regulatory expectations.
In this course you will learn the following:
* Understand the nature and purpose of the CFTC’s correcting amendment to the final rule.
* Identify the key requirements for swap dealers and major swap participants regarding recommendations to counterparties and Special Entities.
* Apply the guidance in Appendix A to ensure compliance with §§ 23.434 and 23.440.
* Recognize the safe harbor provisions and how to utilize them to manage regulatory duties.
* Appreciate the legal and operational consequences of failing to comply with the corrected rule.
