Dodd-Frank Regulatory Reform of OTC Trading

CPE: 7.5 hours
Program Level: Basic to Intermediate
Field of Study: Specialized Knowledge and Applications
Prerequisites: None. No advance preparation needed.
Instructional Delivery Method: Group Live
Cost: $898
Schedule:  8am – 4pm. Lunch is provided at 12pm.

Upcoming Dates


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    Brief: Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) has already had a dramatic impact on the over-the-counter energy markets.  Most of the new rules are already effective and the few rules which are not will be effective soon.  What new reporting is required by your company?  What new compliance procedures should be initiated under Dodd-Frank.  Is clearing required for your company swaps?  Will any of your company’s physical contracts be treated as swaps under Dodd-Frank?  This course will explore all of these issues and more, and propose detailed solutions.


    Day 1 – 8:30am – 4:00pm

    1. Introductions
    2. Overview of Dodd-Frank Wall Street Reform and Consumer Protection Act  (8:30 to 10:15)
      1. Goals and Objectives of the Act
      2. Compliance under Dodd-Frank
      3. Jurisdiction of the CFTC versus the SEC
      4. How Does the Act Change the OTC Energy Trading Business?
      5. New Reporting Burdens on OTC Market Participants
    3. What Are the Hot Spots Under the New Regulations?
    4. New Rules for Energy Trading (10:30 to 12:00)
      1. What Trades Must Go to Centralized Clearing?
      2. What Are Customized Swaps?
      3. Reporting Requirements for Swap Dealers and Major Swap Participants
      4. Conduct of Business Requirements
      5. Position Limits and Conflicts Rules
    5. Special Rules for End-Users, Banks, and Hedge Funds (1:00 to 2:00)
      1. How Broad is the End-User Exemption?
      2. When could a physical contract (ie, a forward contract) be considered a swap under Dodd-Frank?
      3. What Are the Credit and Margin Implications of the Act?
      4. Banks and the Volcker Rule
    6. Energy Ethics (2:00 to 2:45)
      1. Ethical Issues and Policies under the Act
      2. Disruptive Trading, Market Manipulation and Abusive Swaps
    7. Financial Reform Case Studies for OTC Trading (3:00 to 4:00)
      1. Apply the Act to Real Life Energy Trading Scenarios
      2. Discuss How Procedures Must Change


    This seminar is also available as an in-house seminar brought to your office. Contact us for more details.


    Not Convinced?

    See what others had to say about Dodd-Frank Regulatory Reform

    Very informative.  I liked how the (VERY knowledgeable) instructor constantly opened up the discussion with the audience.

    —J. Gradilla, Mansfield Oil Co.

    Well informed, up-to-date analysis.  Gives a good outlook of what’s happened so far and what is coming.

    —M. Burroughs, Crosstex Energy

    Good discussion and refresher!

    —D. Knapp, BP

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