IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Dec. 12, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: November 14, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
SWAPS OVERVIEW
A swap connotes what the name applies: two or more parties swapping securities in a financial deal.
 
Swaps can come in many forms. Some are referred to as derivatives because their value can be derived from something else. They’re often used to hedge a commercial risk.
 
There are interest rate swaps, commodity swaps, currency swaps, equity swaps, credit default swaps, cross-currency swaps, forwards contracts and options to engage in swaps. The ceiling on swaps may only be curtailed by the imagination of the industry.
 
The financial crisis caused some to call for the regulation of derivatives. Under Dodd-Frank, the SEC was given jurisdiction over securities-based swaps and the CFTC oversees commodities-based and other swaps.
 
This channel looks only at CFTC oversight of swaps.
 

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