""Swap Dealers"" — Epstein Files Search

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Results by Dataset36 total

Set 9

3

Set 10

33

EFTA01455879Set 10

2014-05-051p432w

November 2013, the CFTC published final rules implementing requirements for swap dealers and major swap participants to notify counterparties of their right to require segregation of margin (other than variation ... once each calendar year to an officer responsible for the management of collateral 2 • swap dealers and major swap participants must obtain confirmation of receipt by the appropriate officer ... swap dealers and major swap participants must also obtain counterparty elections whether or not to require segregation of collateral in accordance with CFTC Regulations 23.702 and 23.703. CFTC Regulation

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455879.pdf

EFTA01455875Set 10

amend or replace them, prior to executing new uncleared swaps with the relevant swap dealer or major swap participant.4 * * * In order to provide for the delivery of notices ... market participants should be prepared to provide the necessary contact information to their swap dealer and major swap participant counterparties well in advance of the relevant compliance date. The attached ... form can be used to send the required contact information to swap dealer and major swap participant counterparties. 4 Market participants wishing to elect segregation in accordance with CFTC Regulations

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455875.pdf

EFTA01388677Set 10

2017-10-061p214w

Section 2(h)(7)(C)(1) of the CEA and includes a Swap Dealer. Major Swap Participant, Security-Based Swap Dealer. Major Security-Based Swap Participant, a Commodity Pool

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01388677.pdf

EFTA01481141Set 10

2011-11-1836p14,915w

Special Entity, that elects to be a Special Entity by notifying a swap dealer or majoeswap participant of its election prior to entering Into a swap with the particular swap

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01481141.pdf

EFTA01471498Set 10

2014-10-294p626w

Segregated Initial Margin. In November 2013, the CFTC published its final requirements that all swap dealers and major swap participants must notify their clients of their right to require segregation ... regulation became effective on January 6, 2014 and requires all "new counterparties" of a swap dealer or major swap participant as of this date to comply with the regulation

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01471498.pdf

EFTA01455873Set 10

2014-01-061p357w

segregated Initial margin. In November 2013, the CFTC published its final requirements that all swap dealers and major swap participants must notify their clients of their right to require segregation ... regulation became effective on January 6, 2014 and requires all "new counterparties" of a swap dealer or major swap participant as of this date to comply with the regulation

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455873.pdf

EFTA01372405Set 10

adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant (f) commodity pool operator or commodity trading ... adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant CONFIDENTIAL - PURSUANT TO FED. R. GRIM

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372405.pdf

EFTA01372460Set 10

adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant commodity pool operator or commodity trading advisor ... adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant CONFIDENTIAL - PURSUANT TO FED. R. GRIM

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372460.pdf

EFTA01372395Set 10

registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant (f) 17 commodity pool operator or commodity trading advisor (whether registered or exempt ... adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant (0 F commodity pool operator or commodity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372395.pdf

EFTA01372442Set 10

other investment adviser (including financial planners) r registered municipal advisor r registered security-based swap dealer r major security-based swap participant commodity pool operator or commodity trading advisor (whether ... adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066145 CONFIDENTIAL SDNY

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372442.pdf

EFTA01372374Set 10

adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer -1 -1 -"I 1 "1 XI 1 (e) major security-based swap participant ... adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant (0 1.-7 commodity pool operator

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372374.pdf

EFTA01581749Set 10

2005-05-191p412w

Multicurrency — Cross Border) ISDA® International Swap Dealers Association, Inc. MASTER AGREEMENT dated as of May 19, 2005 Credit %IMO. .1390911.(Emroste).LIronod and Financial Trust Company,Inc- have entered and/or ... each other applicable condition precedent specified in this Agreement. Copyright 0 1992 by International Swap Dealers Association, Inc. Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00061162 EFTA01581749

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01581749.pdf

EFTA01456005Set 10

management of collateral if such an officer has been identified to the swap dealer or major swap participant. If no such person has been identified by the Counterparty, then

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456005.pdf

EFTA01455867Set 10

management of collateral if such an officer has been identified to the swap dealer or major swap participant. If no such person has been identified by the Counterparty, then

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455867.pdf

EFTA01372445Set 10

investment adviser (including financial planners) (c) registered municipal advisor (d) r registered security-based swap dealer (e) major security-based swap participant (f) commodity pool operator or commodity trading advisor

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372445.pdf

EFTA01358585Set 10

investment adviser (including financial planners) r registered municipal advisor (d) r registered security-based swap dealer (e) major security-based swap participant (f) commodity pool operator or commodity trading advisor

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358585.pdf

EFTA01372448Set 10

other investment adviser (including financial planners) (c) registered municipal advisor (d) registered security-based swap dealer (e) major security-based swap participant (f) commodity pool operator or commodity trading advisor

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372448.pdf

EFTA01372402Set 10

adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant (f) commodity pool operator or commodity trading

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372402.pdf

EFTA01372381Set 10

adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant (f) r commodity pool operator or commodity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372381.pdf

EFTA01372389Set 10

adviser (including financial planners) (c) r registered municipal advisor (d) r registered security-based swap dealer (e) r major security-based swap participant (0 r commodity pool operator or commodity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372389.pdf

Page 1

Corpus: 1990-03-17 – 2025-12-01

May 2014

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