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CFTC Rule 23.201

Requires swap dealers and major swap participants to keep full, complete and systematic records, with all pertinent data, of all it swaps activities, including transaction records, financial records, business records, marketing and sales materials, and others.

Rule Overview

Jurisdiction: United States

Regulator: CFTC

Topic: Recordkeeping

Overview
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Further Reading

Business records covered by this rule include governance, financial records and complaints.

Governance records to be retained include:

  • Meeting minutes including handouts and presentation materials;
  • Org charts;
  • Biographies and resumes of managers, senior supervisors, officers, and directors;
  • Job descriptions for the above including job responsibilities and scope of authority;
  • Internal and external audit, risk management, compliance, and consultant reports; and
  • Business and strategic plans.
Rule 23.201(a)
Transaction and position records
Rule 23.201(b)
Business records
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Further Reading

ECFR Title 17 Part 43 Go to https://www.ecfr.gov/current/title-17/chapter-I/part-43 ECFR Title 17 Part 45 Go to https://www.ecfr.gov/current/title-17/chapter-I/part-45