Swap Data Error Correction Notification Form

Notifications made pursuant to regulations 45.14(a)(1)(ii) and/or 43.3(e)(1)(ii) shall be sent to swapserrornotification@cftc.gov and shall include in the subject line of the email the name of the swap execution facility, designated contract market, or reporting counterparty making the notification (“Notifying Entity”). Each notification shall include an initial assessment of the scope of the error(s) that were discovered and any initial remediation plan for correcting the error(s). In providing the initial assessment of the scope and any initial remediation plan, the notification shall include the following information:

Email*

(1a) Date of Notification

Month/Day/Year

(1b) First Name

(1b) Last Name

(1b) Name(s) of entity making the notification

(1c) LEI(s) of Notifying Entity

(1d) Contact person(s) email

(1e) Contact person(s) phone number

(3) List of USIs and/or UTIs associated with errors:

(4) Swap asset class(es) to which the error(s) pertain

(5) SDR(s) to which the swap data was/should have been reported

KOR SDR

ICE SDR

DTCC SDR

CME SDR

(6) Other parties, if any, that the Notifying Entity has alerted to the error(s) (e.g., SDR(s), National Futures Association, swap counterparties, etc.)

(7a) Number of transactions impacted by the error(s)

(7b) Number of swap reports impacted by the error(s)

(7c) Time period during which error(s) occurred

(7d). The percent of the transactions impacted during the Relevant Time Period

(7e) The percent of reportable transactions impacted during the Relevant Time Period for each impacted asset class

(8) Date the Notifying Entity discovered the error(s)

Month/Day/Year

(9) Description of how the Notifying Entity discovered the error(s)

(10) Brief narrative description of the error(s)

(11) Clarification regarding whether the issues underling the error(s) are still producing new error(s) as of the date of the notification

(12a) Any initial or other remediation plan, including the estimated date(s) when the error(s) will be corrected

(12b). If no initial or other remediation plan exists, the date when the Notifying Entity expects to have a remediation plan to correct the error(s)

(13) An indication regarding whether the Notifying Entity has reviewed its swaps reporting processes to identify other potential reporting issues similar to that underlying the error(s)

(14) Clarification regarding whether the error(s) impacted the Notifying Entity’s reporting obligations under Part 45, Part 43, or both Parts 45 and 43