Dodd-Frank risk disclosures

In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"), prior to entering into a swap transaction, a Swap Dealer must provide several disclosures to a counter-party who is not a Swap Dealer, Major Swap Participant, Security Based Swap Dealer or Major Security Based Swap Participant. Under the requirements of Rule 23.431 of the Commodity Futures Trading Commission ("CFTC") under the Business Conduct Standards for Swap Dealers and Major Swap Participants, 77 Fed. Reg. 9734, a Swap Dealer must disclose the material risks of the particular swap, which may include market, credit, liquidity, foreign currency, legal, operational, and any other applicable risks. In addition, a Swap Dealer must disclose the material characteristics of the particular swap, including the Material Economic Terms ("METs") of the swap, the terms relating to the operation of the swap and the rights and obligations of the parties during the terms of the swap.

The Dodd-Frank Disclosures for the various counter-parties with which Russell Investments executes OTC trades on your behalf are available on each of the websites for the applicable counter-party and are accessible to all clients. The following is a list of the websites, which will be updated as required with various Risk Disclosures and static METs.

Please bookmark these websites for future reference.

Bank of America
https://vtm.bankofamerica.com/vtm/auth/dfDisclosure.jsp;jsessionid=z3hsRVFFQL8nH4T4nynQwMp7NqW2yJ2TzXhl1HJ6nL7rDNvZtMsV!317093775

Barclays
http://www2.isda.org/functional-areas/legal-and-documentation/disclosures

BNP Paribas
https://globalmarkets.bnpparibas.com/gm/features/dfdisclosures.html

Citibank
https://www.citivelocity.com/cv2/#go/DoddFrankMaterialDisclosures
User ID: citidisclosures
Password: welcome1

Commonwealth Bank of Australia
https://www.commbank.com.au/corporate/financial-markets/Important-Dodd-Frank-disclosures.html

Credit Suisse
https://plus.credit-suisse.com
User ID: makauhan
Password RusInvest1

Deutsche Bank
https://www.db.com/company/en/dodd-frank-resource-centre.htm
Password: Dbdoddfrank

Goldman Sachs
GS360 DF Homepage
DF Calculator
DF Mid Definition
Material Economic Terms
User ID: russell@russellinvestments.com
Password: RusInvest1

HSBC
http://www.hsbcnet.com/gbm/about-us/financial-regulation/dodd-frank/ebc

JP Morgan
https://www.jpmorgan.com/country/US/en/disclosures/external-business-conduct

Morgan Stanley
2000 ISDA Definitions (PDF)
2006 ISDA Definitions (PDF)
Dodd-Frank Notifications (PDF)

National Australia Bank
ISDA General Disclosure Statement (PDF)
Disclosure Annex for Foreign Exchange Transactions (PDF)

Northern Trust
http://www.northerntrust.com/swaps

Royal Bank of Canada
https://content.rbccm.com/doddfrank/Login.aspx?ReturnUrl=/doddfrank/Default.aspx
User ID: RussellImplementationServicesGOF
Password: VYBG]eBVy$&_Ja

Royal Bank of Scotland
http://mibsites.rbs.com/rbs-disclosures/en/home.html
Password: rb$p1c

Société Générale
http://swapdisclosure.sgcib.com

Standard Chartered Bank
https://www.sc.com/en/banking-services/dodd-frank-disclosures.html

State Street Bank
ISDA FX Product disclosures Annex (PDF)
ISDA General Disclosure Statement (PDF)
Conflict of Interest disclosure (PDF)
Static Material Economic Terms (PDF)

The Bank of New York Mellon
http://cl.exct.net/?qs=9c48542c8c960066c5415329d5c86898771f58926abc8d0b02be74c8b0e45317

Toronto Dominion Bank
http://www.tdsecurities.com/tds/content/CMkt_DoddFrankDisclosures
Password: tdsrrd

UBS
https://www.ubs.com/global/en/investment-bank/dodd-frank-risk-disclosures.html?WT.mc_id
Password for METs Disclosures: ubsmets
Password for ISDA Documents: ubsisdadefinitions

Westpac
http://www.westpac.com.au/disclosure-documents/wpgc-bus-disclosure-docs

 

 

 

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