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Market Regulation: Designated Contract Markets and Swap Execution Facilities

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For over 15 years, DSIC has been a trusted provider of regulatory services to designated contract markets (DCM). With the introduction of swap execution facilities (SEF) under the Dodd-Frank Wall Street Reform Act, DSIC has extended its expertise to these platforms. Each SEF carries self-regulatory responsibilities for monitoring trading activities on its platform, and DSIC has been a key partner in this regard.

Under the CFTC's SEF rules, DSIC facilitates regulatory services through Regulatory Service Agreements (RSA) with the majority of CFTC-registered SEFs. To ensure a standardized approach, DSIC mandates that each DCM or SEF enters into an RSA.

DSIC's comprehensive menu of regulatory services includes:

  • Trade Practice Oversight
  • Investigations and Compliance Enforcement
  • Audit Trail Examination
  • Dispute Resolution through Arbitration
  • Comprehensive Reporting and Record Management

Market Oversight Team

The Market Oversight team at DSIC is composed of dedicated analysts with significant expertise in financial markets. Each team member holds certifications like certified fraud examiner (CFE), chartered financial analyst (CFA), certified public accountant (CPA), or brings valuable experience from their roles as former traders.

Contact DSIC

For more information contact DSIC and ask for Kaatima al-Hadi, Senior Vice President of Market Regulation.