WebNYC 299 Park Avenue (22957), United States of America, New York, New York. Swap Dealer Manager. Job Description. Capital One National Association is a CFTC registered Swap Dealer. Web( 2) A swap dealer, as defined in section 1a (49) of the Act and in this section, is an eligible contract participant; ( 3) A major security-based swap participant, as defined in section 3 (a) (67) of the Securities Exchange Act of 1934 and § 240.3 a67–1 of this title, is an eligible contract participant;

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WebApr 12, 2024 · Capital One National Association is a CFTC registered Swap Dealer. The Manager will advise our Commercial Banking’s Sales & Trading and related Operations teams on applicable CFTC swap regulations and futures exchange rules.. This person will regularly interact with various levels of management and will be looked upon to promote … WebApr 24, 2013 · Major Swap Participants. Click here for the CFTC's official list of provisionally registered major swap participants (current as of the date listed at that … kvbw bsnr suche

CFTC Issues Cross-Border Substituted Compliance …

WebEach application for registration as a futures commission merchant under § 3.10, a swap dealer under § 23.21, or a major swap participant under § 23.21, must include a … WebThe 56 provisionally regulated swap dealers represent a diverse group of firms, of which are four large broker-dealers dually registered with SEC. 24 represent foreign domiciled entities likely subject to existing comparable regulation, several remaining are non-bank subsidiaries of bank or standalone entities. WebSep 15, 2024 · The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting new regulations imposing minimum capital requirements and financial reporting requirements on swap dealers (``SDs'') and major swap participants (``MSPs'') that are not subject to a prudential regulator. ... and CFTC if dually-registered as an … pro one by nlj traders