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Course List
Introduction to the Securities Industry
Introduction to the Securities Industry
Introduction to U.S. Securities Processing
Securities Lending and Borrowing : An Operations Perspective
Foundations of Investment Management and Buyside Operations
Dealing with Change in the Financial Markets
Collateral Management: An Operations Perspective
International Issues
International Securities Operations
International Portfolio Accounting
Foreign Currency: Markets, Clearance, Settlement & Accounting
Foreign Exchange: Lifecycle of a Trade
Corporate Actions
U.S. Domestic Corporate Actions
Global Corporate Actions
Capital Markets
Capital Markets Overview
Capital Market Economics - Investigating the Linkages Between the Real Economy and the Financial Markets
Portfolio Management
Portfolio Management
Securities Analysis
Managing Risk
Risk in a Global Market - Management and Operational Challenges Looking Forward
Financial Management
Financial Accounting and Financial Mathematics
Financial Statement Analysis
Fixed Income Securities
Bond Math: Mathematics of the Fixed Income Market
Structured Securities: MBS, ABS, CDOs
Introduction to Fixed Income Products
Accounting for Fixed Income Securities and Derivatives
Mortgage-Backed Securities
Collateralized Debt Obligations and Credit Default Swaps (CDOs and CDS)
Fixed Income Analytics
Interest Rate Swaps and Credit Default Swaps
Fixed Income Securities Trade Processing and Operations
Accounting, Regulatory & Management
Stock Brokerage Accounting & Securities Regulations
Introduction to Private Equity Markets
Trading After the Volcker Rule
Dodd-Frank for Non-US Derivatives Users
Complying with the MiFID II/MAR Rules
Introduction to Derivative Products
Derivatives: Markets, Operations, Accounting & Control
Derivative Products: Risk Management and Valuation
Option Valuation and Trading
Equity Derivatives: Futures and Swaps
Interest Rate Futures and Swaps
Introduction to Options: Products, Trading & Processing
Swaps Processing and Operations
Commodity Futures: Energy, Metals and Agricultural
Equity Options: Strategies, Accounting and Operations
Mutual Funds
Introduction to Mutual Funds
Mutual Fund Operations

Course Description
Dodd-Frank for Non-US Derivatives Users
Available Dates:
There are no dates available.
Course Code: 787
Duration: 1 day
Level: Intermediate
Fee: $795.00
CPE Credits: 7
Prerequisite: Understanding of the general functioning of the equities, fixed income and derivatives markets, as well as a general understanding of the US market regulatory structure.

Title VII of the Dodd-Frank Act (DFA) has significantly changed the market for derivative instruments, not just for US firms but for global firms. Thus global market participants must incorporate this law, and its resulting regulations, into their derivatives business.

This one-day course will explore the language and impacts of the law itself, as well as its regulatory implementation, concentrating on its effect on firms that are not headquartered in the US.

Topics for Discussion Include:

  • Introduction to derivative instruments
  • The background to the DFA
  • The regulatory agencies enforcing the DFA
  • The Rulemaking Process
  • The five pillars of the DFA
  • Reporting
  • Clearing
  • Trading
  • Business Conduct
  • The Push-Out Rule
  • Workflow Impacts
  • Market Impacts

After attending this seminar, participants should be able to:

  • Understand what instruments and parties Title VII applies to
  • Understand who will be enforcing it and what their rules are
  • Understand the language and implications of each of the five pillars
  • Understand how Title VII has impacted the workflow of investment firms
  • Understand how Title VII has caused and will cause changes in the derivatives market