LEGAL NAME Field must be completed. Must specify full legal name of the entity or fund. If you do not wish this information to be displayed on GUI, please ensure that you complete the short name field. PRIMARY/PRUDENTIAL Field must be completed. If regulated, please specify Primary/Prudential Regulator(s), i.e. regulator with direct statutory authority REGULATOR(S)/UNREGULATED to supervise and regulate the entity. Please note that multiple regulators can be included in this one text box. If unregulated, please indicate in the “unregulated” REGISTERED OFFICE LOCATION Field must be completed. This refers to place of organization of the legal entity, i.e. as stated in Corporate seal, Articles of Incorporation. (e.g. New York, US or Toronto, Ontario, Canada) US REGISTERED SEF, DCM OR DCO Field must be completed for any entity that is registered as a swap execution facility, designated contract market or derivatives clearing organization at either or both of the U.S. Commodity Futures Trading Commission or U.S. Securities and Exchange Commission Reason for data collection Due to consultation with the Over the Counter Derivatives Regulators Forum (ODRF) along with US regulators and in compliance with pending European regulations, Deriv/SERV, Warehouse Trust and the Repository will provide regulators with data reporting on the OTC derivatives market. Information collected above is needed to enable regulatory access to data on transactions/positions of regulated entities and the underlying instruments traded. Global, Primary, Prudential regulator information is needed to provide appropriate access to regulators. Regulator Information: Entity can have one or more prudential supervisors/regulators that have regulatory authority over the entity. Registered Office Location: Describes place of organization of the legal entity listed (e.g. London, United Kingdom). Note: the fund is the entity and contractual entity from whom this information is requested.
LEGAL NAME Field must be completed. Must specify full legal name of the entity or fund. If you do not wish this information to be displayed on GUI, please ensure that you complete the short name field. PRIMARY/PRUDENTIAL REGULATOR(S)/UNREGULATED Field must be completed. If regulated, please specify Primary/Prudential Regulator(s), i.e. regulator with direct statutory authority to supervise and regulate the entity. Please note that multiple regulators can be included in this one text box. If unregulated, please indicate “unregulated” in the REGISTERED OFFICE LOCATION Field must be completed. This refers to place of organization of the legal entity, i.e. as stated in Corporate seal, Articles of Incorporation. (e.g. New York, US or Toronto, Ontario, Canada) US REGISTERED SEF, DCM OR DCO Field must be completed for any entity that is registered as a swap execution facility, designated contract market or derivatives clearing organization at either or both of the U.S. Commodity Futures Trading Commission or U.S. Securities and Exchange Commission Reason for data collection Due to consultation with the Over the Counter Derivatives Regulators Forum (ODRF) along with US regulators and in compliance with pending European regulations, Deriv/SERV, Warehouse Trust and the Repository will provide regulators with data reporting on the OTC derivatives market. Information collected above is needed to enable regulatory access to data on transactions/positions of regulated entities and the underlying instruments traded. Global, Primary, Prudential regulator information is needed to provide appropriate access to regulators. Regulator Information: Entity can have one or more prudential supervisors/regulators that have regulatory authority over the entity. Registered Office Location: Describes place of organization of the legal entity listed (e.g. London, United Kingdom). Note: the fund is the entity and contractual entity from whom this information is requested.