Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agencies, swap execution facilities and security-based swap execution facilities; Introducing Broker and Futures Commission Merchant regulation; risk reduction services; Derivatives Clearing Organizations; Central Counterparties; US Treasury market structure issues and CFTC reauthorization legislation generally and post-trade risk reduction services in particular.
Duration: April 18, 2011
to
December 30, 2016
General Issues: Financial Institutions/Investments/Securities , Banking
Spending: about $3,610,000 (But it's complicated. Here's why.)
It can be tricky to figure out how much an organization spent on a particular lobbying engagement. The law only requires lobbyists to report the amount they were paid for federal lobbying each quarter rounded to the nearest $10,000—and if it's less than $3,000 in a given quarter (or less than $13,000 for organizations with in-house lobbyists), they don't have to disclose it at all. Plus, some organizations include spending that doesn’t belong in the report—for instance, money spent lobbying state governments or other legal work.
Agencies lobbied since 2011: Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury - Dept of, U.S. Senate, House of Representatives, Federal Reserve System, Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC)
Related Foreign Entities:
ICAP plc & its wholly-owned, non-operating interm. holding cos. (London, EC2M 7UR, GBR); contribution to lobbying: $0; ownership 100%
Lobbyists
Lobbyists named here were listed on a filing related to this lobbying engagement. They may not be working on it now. Occasionally, a single lobbyist whose name is spelled two different ways on filings may be represented twice here.
Lobbyist
Covered positions?
Patrick McCarty Senior professional staff, Senate Agriculture Committee;
" " Majority Counsel, Financial Institutions Subcommittee,
House Banking & Financial Services Committee.
Guy Rowcliffe Official of affiliate Reset Pte Ltd.
Disclosures Filed
Once a lobbying engagement begins, the lobbyist or firm is required to file updates four times a year. Those updates sometimes change which lobbyists are involved or add new issues being discussed. When lobbyists stop working for a client, the firm is also supposed to file a report disclosing the end of the relationship.
4th Quarter, 2016
ICAP Services North America LLC (formerly ICAP North America, Inc.) in-house lobbying effort was terminated on Jan. 20, 2017
Original Filing: 300852501.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agencies, swap execution facilities and security-based swap execution facilities; Introducing Broker and Futures Commission Merchant regulation; risk reduction services; Derivatives Clearing Organizations; Central Counterparties; US Treasury market structure issues and CFTC reauthorization legislation generally and post-trade risk reduction services in particular.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2016
In Q3, ICAP Services North America LLC (formerly ICAP North America, Inc.) had in-house lobbyists. The report was filed on Oct. 20, 2016.
Original Filing: 300839158.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agencies, swap execution facilities and security-based swap execution facilities; Introducing Broker and Futures Commission Merchant regulation; risk reduction services; Derivatives Clearing Organizations; Central Counterparties; US Treasury market structure issues and CFTC reauthorization legislation generally and post-trade risk reduction services in particular.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2016
In Q2, ICAP Services North America LLC (formerly ICAP North America, Inc.) had in-house lobbyists. The report was filed on July 20, 2016.
Original Filing: 300817249.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agencies, swap execution facilities and security-based swap execution facilities; Introducing Broker and Futures Commission Merchant regulation; risk reduction services; Derivatives Clearing Organizations; Central Counterparties; US Treasury market structure issues and CFTC reauthorization legislation generally and post-trade risk reduction services in particular.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2016
In Q1, ICAP Services North America LLC (formerly ICAP North America, Inc.) had in-house lobbyists. The report was filed on April 20, 2016.
Original Filing: 300801452.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agencies, swap execution facilities and security-based swap execution facilities; Introducing Broker and Futures Commission Merchant regulation; risk reduction services; Derivatives Clearing Organizations; Central Counterparties; and HR 2289 Commodity End-User Relief Act, Sec. 211 GAO Study on Commission Use of Resources - Post Trade Risk Reduction Services issues.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2015
In Q4, ICAP Services North America LLC (formerly ICAP North America, Inc.) had in-house lobbyists. The report was filed on Jan. 20, 2016.
Original Filing: 300779384.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agencies, swap execution facilities and security-based swap execution facilities; Introducing Broker and Futures Commission Merchant regulation; risk reduction services; Derivatives Clearing Organizations; Central Counterparties; and HR 2289 Commodity End-User Relief Act, Sec. 211 GAO Study on Commission Use of Resources - Post Trade Risk Reduction Services issues.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2015
In Q3, ICAP Services North America LLC (formerly ICAP North America, Inc.) had in-house lobbyists. The report was filed on Oct. 20, 2015.
Original Filing: 300765100.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agencies, swap execution facilities and security-based swap execution facilities; Introducing Broker and Futures Commission Merchant regulation; risk reduction services; Derivatives Clearing Organizations; Central Counterparties; and HR 2289 Commodity End-User Relief Act, Sec. 211 GAO Study on Commission Use of Resources - Post Trade Risk Reduction Services issues.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2015
In Q3, ICAP Services North America LLC (formerly ICAP North America, Inc.) had in-house lobbyists. The report was filed on Oct. 20, 2015.
Original Filing: 300765126.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agencies, swap execution facilities and security-based swap execution facilities; Introducing Broker and Futures Commission Merchant regulation; risk reduction services; Derivatives Clearing Organizations; Central Counterparties; and HR 2289 Commodity End-User Relief Act, Sec. 211 GAO Study on Commission Use of Resources - Post Trade Risk Reduction Services issues.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2015
ICAP North America, Inc. amended a lobbying report for in-house lobbying in Q22015 on Oct. 15, 2015
Original Filing: 300754208.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agencies, swap execution facilities and security-based swap execution facilities; Introducing Broker and Futures Commission Merchant regulation; risk reduction services; Derivatives Clearing Organizations; Central Counterparties; and HR 2289 Commodity End-User Relief Act, Sec. 211 GAO Study on Commission Use of Resources - Post Trade Risk Reduction Services issues.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2015
In Q2, ICAP North America, Inc. had in-house lobbyists. The report was filed on July 20, 2015.
Original Filing: 300744140.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, Block Trade rules, risk reduction services, Derivatives Clearing Organizations, and Central Counterparties.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2015
In Q1, ICAP North America, Inc. had in-house lobbyists. The report was filed on April 20, 2015.
Original Filing: 300727651.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, Block Trade rules, and risk reduction services.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2014
In Q4, ICAP North America, Inc. had in-house lobbyists. The report was filed on Jan. 20, 2015.
Original Filing: 300701958.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, and Block Trade rules.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2014
In Q3, ICAP North America, Inc. had in-house lobbyists. The report was filed on Oct. 20, 2014.
Original Filing: 300687829.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, and Block Trade rules.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2014
In Q2, ICAP North America, Inc. had in-house lobbyists. The report was filed on July 21, 2014.
Original Filing: 300667470.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, and Block Trade rules.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2014
In Q1, ICAP North America, Inc. had in-house lobbyists. The report was filed on April 21, 2014.
Original Filing: 300648534.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, and Block Trade rules.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2013
In Q4, ICAP North America, Inc. had in-house lobbyists. The report was filed on Jan. 21, 2014.
Original Filing: 300626871.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, and Block Trade rules.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2013
In Q3, ICAP North America, Inc. had in-house lobbyists. The report was filed on Oct. 21, 2013.
Original Filing: 300604669.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, and Block Trade rules.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2013
In Q2, ICAP North America, Inc. had in-house lobbyists. The report was filed on July 22, 2013.
Original Filing: 300585053.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. H.R. 2586 the Swap Execution Facility Clarification Act. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, and Block Trade rules.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2013
In Q1, ICAP North America, Inc. had in-house lobbyists. The report was filed on April 22, 2013.
Original Filing: 300564657.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. H.R. 2586 the Swap Execution Facility Clarification Act. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, and Block Trade rules.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2012
In Q4, ICAP North America, Inc. had in-house lobbyists. The report was filed on Jan. 22, 2013.
Original Filing: 300542515.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. H.R. 2586 the Swap Execution Facility Clarification Act. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, and Block Trade rules.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2012
In Q3, ICAP North America, Inc. had in-house lobbyists. The report was filed on Oct. 22, 2012.
Original Filing: 300519145.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. H.R. 2586 the Swap Execution Facility Clarification Act. Introducing Broker and Futures Commission Merchant regulation, Designated Contract Market issues, and Block Trade rules.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2012
In Q2, ICAP North America, Inc. had in-house lobbyists. The report was filed on July 20, 2012.
Original Filing: 300497270.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. H.R. 2586 the Swap Execution Facility Clarification Act.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2012
In Q1, ICAP North America, Inc. had in-house lobbyists. The report was filed on April 20, 2012.
Original Filing: 300474869.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. H.R. 2586 the Swap Execution Facility Clarification Act.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2011
In Q4, ICAP North America, Inc. had in-house lobbyists. The report was filed on Jan. 23, 2012.
Original Filing: 300453537.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. H.R. 2586 the Swap Execution Facility Clarification Act.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2011
In Q3, ICAP North America, Inc. had in-house lobbyists. The report was filed on Oct. 27, 2011.
Original Filing: 300431200.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities. H.R. 2586 the Swap Execution Facility Clarification Act.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2011
In Q2, ICAP North America, Inc. had in-house lobbyists. The report was filed on July 21, 2011.
Original Filing: 300406439.xml
Lobbying Issues
Implementation of Title VII of Dodd Frank and development of regulations, including rules for swap data repository, clearing agency swap execution facilities and security-based swap execution facilities.
Agencies Lobbied
Commodity Futures Trading Commission (CFTC)
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2011
ICAP North America, Inc. filed a lobbying registration on June 5, 2011 for in-house lobbying efforts, effective April 18, 2011.
Original Filing: 300384820.xml
Issue(s) they said they’d lobby about: DoddFrank Wall Street Reform and Consumer Protection Act implementation. .
Source: Clerk of the U.S. House of Representatives and Secretary of the Senate
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