Navigate complex regulations with ease.

The Dodd-Frank Wall Street and Consumer Protection Act (DFA) was enacted by US Congress in July 2010.  The DFA requires the OTC derivatives market to be regulated by the SEC or the CFTC. Though most of the compliance burden is placed on banks, some will have an impact on the derivative client.  Broad regulatory reforms of this kind must be addressed formally, and in advance of the deadline, to ensure proper adherence to the rules.

Dodd-Frank legislation imposes strict documentation and reporting requirements on companies using derivatives to ensure transparency and will change the way you manage your portfolio. This new regulation requires formal and potentially time consuming reporting standards be met.  In order to effectively and efficiently provide the Dodd-Frank protocol to counterparties, ISDA and MARKIT have joined to create a web-based technology solution to automate the information gathering process and an information sharing platform through the use of a single online tool.

The Dodd-Frank Protocol Process has three required steps; first, the submission of an adherence letter to the ISDA; second, the completion and delivery of the DF Protocol Questionnaire; and, third, the matching of respective DF Protocol Questionnaires.

DAG can guide you through the complexities of the Dodd-Frank implementation effectively and efficiently.  DAG will help clients implement all the necessary documentation to fulfill the reporting deadline to meet Dodd-Frank compliance, minimize management compliance risk and diminish the stresses associated with meeting the reporting requirements.
DAG services include:

  • Portfolio management and policy implementation
  • Position limit monitoring, credit limits, mandated margins
  • Adherence Letters
  • ISDA Amendment Questionnaire
  • ISDA Amend Process (Manual/MARKIT)
  • Evaluation of DF Supplement Safe-Harbor Elections
  • DF Terms Agreement
  • Establishment of 5-Year documentation maintenance program
  • Evaluation of clearing alternatives and related agreements
  • Accuracy in reporting requirements