Dodd-Frank Act: Corporate Governance Checklist for Commercial End-Users

Posted on 05-25-2016 by
Tags: Industry Insights & Trends , LIT , Latest Headlines & Stories , cybersecurity , Securities

The article below was written by Jimmy Khan and Sharon Tishco, LexisNexis. 

Known as the most far reaching Wall Street reform in history, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 was enacted to prevent the excessive risk-taking that led to the financial crisis in 2008. The sweeping reforms that it brought about included a complete overhaul of the regulation of the over-the-counter derivatives market in the United States.

To help better understand the new regulatory requirements, Lexis Practice Advisor’s Securities & Capital Markets module has added new expertly authored practice notes and new checklists to the Financial Derivatives topic. This new content provides an overview of the impact of the Dodd-Frank Act on financial derivatives, including practice notes discussing the regulations applicable to cleared and non-cleared swaps, the commercial end user exception to mandatory clearing requirements, and the regulation of cross-border transactions.

Take, for example, the “Corporate Governance Checklist - Commercial End-User Exception to Mandatory Clearing of Swaps and Security-Based Swaps under the Dodd-Frank Act”.  This checklist is a useful reference point for certain nonfinancial entities that wish to elect the commercial end-user exception to the clearing requirements under the Dodd-Frank Act. This exception applies to entities that use swaps and security-based swaps to hedge or mitigate commercial risks associated with their underlying business.

Download the checklist >>

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