DODD-FRANK ACT DISCLOSURES

The Dodd-Frank Wall Street Reform and Consumer Protection Act (DFA) was enacted by the United States Congress in July 2010 for the purpose of increasing transparency and reducing risk in the Over the Counter (OTC) derivatives market, among other things. The Bank of Nova Scotia (BNS) has registered as a foreign Swap Dealer with the National Futures Association (NFA) as required by Commodity Futures Trading Commission (CFTC) regulations. As a registered foreign Swap Dealer, BNS is subject to several new requirements under the DFA, including enhanced Business Conduct rules that become effective on May 1, 2013. Pursuant to the new rules, BNS is required to obtain additional Know Your Client (KYC) information and specific representations, as well as to provide certain disclosures and notifications to all swap participants. To help facilitate compliance with the new disclosure requirements, International Swaps and Derivatives Association (ISDA) has published the General Disclosure Statement and the Annexes for the interest rate, foreign exchange, equity, credit and commodities asset classes that can be found below. Going forward, please monitor this page on a regular basis as disclosure documents may be amended and new documents may be added.

Dodd-Frank Documents
Date Title / Description Document Type
December 4, 2012 General Disclosure Statement pdf documnent icon
December 4, 2012 Commodities Derivatives Disclosure Annex pdf documnent icon
December 4, 2012 Credit Derivatives Disclosure Annex pdf documnent icon
December 4, 2012 Equity Derivatives Disclosure Annex pdf documnent icon
December 4, 2012 FX Disclosure Annex pdf documnent icon
December 4, 2012 Interest Rate Derivatives Disclosure Annex pdf documnent icon
April 25, 2013 Daily Marks Disclosure pdf documnent icon
May 24, 2013 Dodd-Frank Act Disclaimer pdf documnent icon
May 30, 2013 Pre-Trade Mid-Market Marks Disclaimer pdf documnent icon