Key Title VII Implications of Dodd-Frank for Swaps and Derivatives Activities

Navigating Legal Challenges for Funds, End-Users and Other Buyers

Recording of a 90-minute premium CLE webinar with Q&A

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Conducted on Wednesday, September 25, 2013

Recorded event now available

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Course Materials

This CLE course will provide commercial finance counsel with a review of recently effective Title VII regulations for swaps and derivatives. The panel will focus on implementation, the clearing process and execution, choices and extraterritorial applications that apply to hedge funds, end users, and other buyers.


Now that many of the rules and regulations that implement Title VII have been finalized and become effective, counsel with clients participating in the derivatives markets need to understand the impact of this new regulatory regime on their clients’ day-to-day activities and their available options.

The new regulatory regime affects all participants in the swaps markets, including end users, major swap participants, prime brokers, hedge funds and swap dealers. These regulations will also impact market facilities including clearinghouses, exchanges, swap execution facilities and data repositories.

Listen as our panel of experienced derivatives legal practitioners discusses the practical effect of the new Title VII regulations on swaps and other derivatives, focusing on the issues to be addressed by funds, end-users and other buyers of these products.



  1. Overview of implementation of Title VII
  2. Clearing and execution
    1. Clearing process
    2. Determinations and exceptions
    3. Swap execution facilities
    4. Collateral
  3. Perspectives
    1. Hedge funds
    2. Prime brokers
    3. End users
  4. Extra-territorial applications
  5. Choices


The panel will review these and other key questions:

  • What types of swaps are, or are likely to be, required to be cleared?
  • What does clearing mean?
  • What are the implications of executing through an SEF?
  • What are the exceptions to, or exemptions from, the clearing requirements?
  • How does this affect non-U.S. activities?
  • How much collateral must be posted and how is it handled?

Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.


Michael P. O'Brien
Michael P. O'Brien

Winston & Strawn

He concentrates his practice in the representation of multinational corporations, financial intermediaries, and...  |  Read More

Jonathan Mayers
Jonathan Mayers
Renaissance Technologies

His practice areas include prime brokerage, derivatives, structured products and fund related matters. His previous...  |  Read More

Daniel S. Vogel
Daniel S. Vogel
Senior Counsel
Wells Fargo Law Department

He is responsible for advising on Title VII of the Dodd-Frank Act as it relates to the bank’s derivatives...  |  Read More

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