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Regulations and Requirements
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Knowledge Base
CFTC
Administration & Onboarding
Onboarding
Data Discovery & Deep Dives
Support
Managing Users
Environments
Developer Resources
Terminology & Identifiers
KOR Defined Terms
Critical Data Elements (CDE)
Unique Transaction Identifier (UTI)
Legal Entity Identifier (LEI)
Natural Person Identifier (NPID)
Privacy Law Identifier (PLI)
Fields
UPI
General
Controls
Releases - Testing
Back Reporting
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CFTC
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Rejections
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SEC
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Regulations
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Port In/Out
Canadian Regulator Reports
ASIC
Regulations and Requirements
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Public Aggregate Reporting
Transactions
Valuations
Collateral and Margin
Port In/Port Out
FAQ
MAS
Regulations and Requirements
Compliance Concepts
Transactions
Identifying Reporting Obligations
Identifying Reportable Derivatives Contracts
Reporting Nexus
Information to be reported
Cross-Border Activities
UTI and UTI Generation
EMIR (EU)
Regulations & Requirements
FAQs
Best Practices
ACER
Technical Specifications
HKMA
Best Practices
CFTC
Everything you need to know about CFTC reporting.
Seeing what the CFTC Sees
What is the CFTC: Daily Collateral/Margin Report?
How are the CFTC reports defined?
What is the CFTC: Daily Real-time Dissemination Report?
What is the CFTC: Daily Open Swaps Report?
What is the CFTC: Daily Valuation Report?
What is the CFTC: Daily Transaction File?
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Regulations & Requirements
What CFTC Regulations do I need to know for SDR Reporting?
What is a "Business Day" for CFTC SDR Reporting?
CFTC Defined Terms
What are the key highlights of the CFTC's new reporting rules ?
What are the requirements to correct errors?
Reporting to a single SDR
Timeliness calculations - CFTC
What are the special margin rules for affiliates ?
How does KOR identify missing public messages?
Who is the Reporting Counterparty?
Do I need to do anything when a trade naturally terminates?
Reporting Party/UTI Generation ISDA Tie Breaker Logic
How do I submit block/large notional swaps?
How does KOR verify block/Large notional swap elections?
What are my requirements when I trade on a SEF (Swap Execution Facility) or a DCM (Designated Contract Market)?
What are the CFTC reporting obligations by registered entity type?
KOR (CFTC SDR) Compliance reports
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Public Reporting
What do I have to report for Mixed swaps?
Who reports Public data?
When are public messages publicly disseminated?
Do I need to correct errors in my Public data?
How are values rounded on the public dissemination/ticker?
Why can't I find the related NEWT disseminated message for all disseminated messages?
How are values capped on the ticker? (initial)
What are my obligations to report real-time data? (e.g., Part 43 data)
How do I report Post-priced?
Do I need to report Prime Broker/Tigger/Mirror Swaps?
On Public Messages do I report the actual notional or the notional to be Disseminated?
How do I report Commodities swaps that should be masked on public dissemination?
How do I query data on the Public ticker?
Do I quality for cross-border exemptions for public reporting?
How does KOR verify block/Large notional swap elections? - Post Initial
How are values capped on the ticker? (Post Initial)
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Transactions
Reporting On-Facility Swaps
What are the reporting requirements for Off-Facility swaps?
Off-facility non-cleared swaps
Transaction Reporting: Data Validation Acceptance Message
Transaction Reporting: Data reported to Swap Data Repositories
What are the allowed action type sequences?
What are the allowed action/event type combinations?
What requirements do non-reporting counterparty's have?
How to calculate notional for reporting?
Date Format
How do I report and monitor clearing exemptions/exceptions?
How do I indicate for and access data to a trade that was executed anonymously?
Multi-asset swaps
Allocations
How do I report Clearing swaps?
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Valuations
How do I report Valuation data?
What days do I need to submit valuations for a trade?
Who has to report Valuation Data?
Collateral and Margin
What do the collateral codes mean?
Can I report Collateral at both Transaction and/or Portfolio level ?
Who has to report Collateral/Margin Data?
How do I report collateral data?
Continuation and Updates
What do I have to report for continuation data?
Who has to report trade updates?
What continuation data needs to be reported for original (intent to clear/alpha) swaps?
When do I have to report Life-cycle event data?
Corrections
How do I correct large number of reports?
What should I do for over or under-reporting?
How do I resolve a dispute on the accuracy of my data?
Error correction form ISDA best practice
Verification & Reconciliation
How do I track that I have verified my data?
How often do I have to verify my data?
Do I have to verify the data I submitted to the SDR?
How do I verify Part 45 data?
Delegated Reporting
Can I delegate my reporting to another party?
What are my requirements when I delegate my reporting?
Rejections
How do I correct my UTI/Counterparty?
How do I read the regex patterns in my rejections?
Porting In/Out
How do I port swaps to KOR SDR?
How do I port swaps out of KOR SDR?
Best Practices
How do I report Option Exercises?
How to report execution timestamp on allocations
Margin and Collateral Workflow Examples
Do I need to report collateral for Uncollateralised trades?
How do I report Packages?
Persisting data elements
What if I don't have an LEI for Counterparty 2 and can't get one?
Embedded Option Type
Platform Identifier
Prime Brokerage Indicator
How do I fill out the CFTC Notification Form?
Delta
Energy Swap Example - CFTC SDR
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Sample Messages
Sample SDR Valid & Invalid Messages
CFTC - IR Message Samples
Sample SDR Dispute Messages
Sample SDR Crypto Option Messages
Sample SDR Crypto Forward Messages
Sample SDR Collateral Messages
Sample FX Option Messages
Sample SDR Crypto Swap Messages
Sample Commodity NatGas Swaption Messages
Sample Commodity Multi-Exotic Swap
Sample Equity Swap CFTC Message
How to upload multiple messages in a single payload
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