Dodd Frank Act - Swap Dealer Disclosures

Fifth Third Financial Risk Solutions (a division of Fifth Third Bank) is provisionally registered as a swap dealer with the Commodities Futures Trading Commission. As such, the Commodity Futures Trading Commission’s (CFTC) External Business Conduct rules require us to comply with certain disclosure obligations to counterparties and prospective counterparties prior to entering into swap transactions.

The disclosure information includes the following:

  1. Information relating to the material risk associated with particular swap transactions, including market, credit, liquidity, foreign currency, legal operational and any applicable risks;
  2. Material characteristics of the swap;
  3. Material Incentives and Conflicts of Interest; and
  4. Mid Market marks (as defined under CFTC rules).

Contact Us

Please contact your Capital Markets Trading Representative that directly handles your trading account on a normal/daily basis to discuss further. If you have further questions regarding next steps, please email and we will respond quickly to assist with your request.