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External Meetings: Meeting with Securities Industry and Financial Markets Association
IV. Business Conduct Standards – Internal
See attached document for full participant list.
Goldman Sachs, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities, Futures Industry Association (FIA), Securities Industry and Financial Markets Association (SIFMA), Pershing, Morgan Stanley & Co., Wilmer Hale, NewEdge, Macquarie Group
Participants discussed Business Conduct Standards in conjunction with conflicts of interest policies and procedures by swap dealers and major swap participants, conflicts of interest policies and procedures by Futures Commission Merchants and Introducing Brokers and Chief Compliance Officer. In addition participants discussed, Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant,