© 2021 KOR Reporting Inc.

KOR SDR Organization Structure

2021-04-01
KOR Reporting Organizational Structure 1

Table of Contents

................................................................................................................................................... 0

Table of Contents........................................................................................................................ 1

History........................................................................................................................................ 2

1. Overview.............................................................................................................................. 3

2. KOR SDR Organization Structure........................................................................................... 3

3. KOR SDR Job Descriptions..................................................................................................... 3

3.1 Chief Executive Officer (“CEO”)...............................................................................................3

3.2 Chief Compliance Officer (“CCO”)...........................................................................................3

3.3 Chief Technology Officer (“CTO”)............................................................................................4

3.4 Head of Commercial, Client Services, and Operations ...........................................................4

4. Jurisdictional Information..................................................................................................... 4

4.1 Other trade repository registrations.......................................................................................4

5. Appendix A - Exhibits............................................................................................................ 5
KOR Reporting Organizational Structure 2

History

Date Description of change Sections Updated

2021-04-01 Original Document

Last Update Date

2021-09-01
KOR Reporting Organizational Structure 3

1. Overview

This document includes an overview of the organization structure of KOR Reporting Inc. delivering Trade 

Repository services.

2. KOR SDR Organization Structure

3. KOR SDR Job Descriptions

3.1 Chief Executive Officer (“CEO”)

The KOR TR

1

CEO is the senior executive responsible for managing all functions and the overall 

success business of the TR(s). The KOR TR CEO will be part of and accountable for all strategic 

decisions, work with leadership on tactical plans, and analyze risks to ensure that the necessary steps 

are taken to minimize such risks.

3.2 Chief Compliance Officer (“CCO”)

1 Trade Repository (TR) is an all-encompassing term that includes Swap Data Repository (SDR) and Security Based Swap 

Data Repository (SBSDR) for which KOR Reporting Inc. is registered.

Chief

Executive

Officer

Head of

Commercial &

Operations

CCO & Head of

Product

Board of Directors

Risk & Audit

Committee

Client Services

Manager

Chief

Technology

Officer

Legal

Infrastructure

Engineer

Software

Engineer (2)
KOR Reporting Organizational Structure 4

The KOR TR CCO will administer and monitor compliance for KOR TR(s) and will report to the Board

of Directors for KOR Reporting Inc (“the Board”) and the CEO on at least a quarterly basis regarding 

compliance. With respect to all TR-related matters for which the KOR TR CCO believes he or she needs 

supervisory direction, including conflicts of interest matters, the KOR TR CCO shall obtain such 

direction from the CEO or the Board. The KOR TR CCO will, among other things, respond to applicable 

regulator requests and inquiries and will oversee the process of providing access to KOR TR systems 

to domestic and foreign regulators. The KOR TR CCO will establish product requirements for KOR TR 

systems. These tasks will include, among other things, reviews of the validation and reports 

requirements. The CCO will also participate in system development initiatives for the implementation 

of features in support of applicable regulator reporting rules, specifications, and guidelines. 

The CCO shall always adhere to the duties and requirements as outlined in the KOR Compliance 

Manual(s) section “Chief Compliance Officer.”

3.3 Chief Technology Officer (“CTO”)

The KOR TR CTO is responsible for the company’s strategy for using technological resources, and to

ensure that technologies used are efficient, secure, and effective in meeting KOR TRs regulatory 

duties and clients’ needs. The CTO will be responsible for and manage all technical functions of KOR 

TR(s) including design, development, testing, infrastructure, and security. 

3.4 Head of Commercial, Client Services, and Operations

The KOR TR Head of Commercial, Client Services, and Operations is responsible for sales, marketing, 

client support and business operations. This role covers the end-to-end experience by KOR TR Clients 

and all support functions and activities. 

4. Jurisdictional Information 

At this time KOR does not have any existing or further pending trade repository applications beyond that of a 

SDR license with the CFTC and the SBSDR with the SEC. This document shall be updated with any changes.

4.1 Other trade repository registrations

Country Regulator Registration Category Date of Registration Status of Registration

US CFTC SDR TBD Pending

US SEC SBSDR TBD To be filed
KOR Reporting Organizational Structure 5

5. Appendix A - Exhibits

Regulator Exhibit Exhibit Description 

CFTC  E Attach as Exhibit E, a narrative or graphic description of the organizational structure 

of the Applicant. 

Note: If the swap data repository activities are conducted primarily by a division, 

subdivision, or other segregable entity within the Applicant's corporation or 

organization, describe the relationship of such entity within the overall 

organizational structure and attach as Exhibit E only such description as applies to 

the segregable entity. Additionally, provide any relevant jurisdictional information, 

including any and all jurisdictions in which the Applicant or any affiliated entity is 

doing business and registration status, including pending application (e.g., country, 

regulator, registration category, date of registration). In addition, include a 

description of the lines of responsibility and accountability for each operational unit 

of the Applicant to (i) any committee thereof and/or (ii) the board.

SEC F Attach as Exhibit F a narrative and/or graphic description of the organizational 

structure of the applicant. Note: If the security-based swap data repository or 

securities information processor activities of the applicant are conducted primarily 

by a division, subdivision, or other segregable entity within the applicant's 

corporation or organization, describe the relationship of such entity within the 

overall organizational structure and attach as Exhibit F the description that applies 

to the segregable entity.