FacultyFaculty/Author Profile

Thomas J. Smith

U.S. Commodity Futures Trading Commission
Deputy Director, Capital, Margin and Segregation, Division of Swap Dealer and Intermediary Oversight
Washington, DC, USA


Tom Smith is a Deputy Director in the Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission.  Tom’s primary responsibilities include capital, margin, segregation, and financial reporting requirements for futures commission merchants, swap dealers, major swap participants, and introducing brokers.

Tom joined the Commission in 1992 and has worked in various capacities including as an Attorney Advisor in the Office of Proceedings where he worked on adjudicatory matters, and as a Special Counsel in the Division of Trading and Markets where he worked on issues concerning futures commission merchants, clearing organizations and contract markets.  Tom spent several years in public accounting prior to joining the Commission.

Thomas J. Smith is associated with the following items:
Web Segment  Web Segment Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives - Advanced Swaps & Other Derivatives 2017, Thursday, October 26, 2017
Swap Dealers and Major Swap Participants: Who Are They and How Are They Regulated? Reporting, Business Conduct Rules, Capital - Advanced Swaps & Other Derivatives 2017, Thursday, October 26, 2017
MP3 Audio  MP3 Audio Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives - Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives, Thursday, October 26, 2017
Swap Dealers and Major Swap Participants: Who Are They and How Are They Regulated? Reporting, Business Conduct Rules, Capital - Swap Dealers and Major Swap Participants: Who Are They and How Are They Regulated? Reporting, Business Conduct Rules, Capital, Thursday, October 26, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives - Clearing; Margin for Cleared Transactions; Client Money Segregation; Default Management; End-User Perspectives, Thursday, October 26, 2017
Swap Dealers and Major Swap Participants: Who Are They and How Are They Regulated? Reporting, Business Conduct Rules, Capital - Swap Dealers and Major Swap Participants: Who Are They and How Are They Regulated? Reporting, Business Conduct Rules, Capital, Thursday, October 26, 2017
On-Demand Web Programs  On-Demand Web Programs Advanced Swaps & Other Derivatives 2017, Monday, November 06, 2017, New York, NY
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