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External Meetings: Meeting with Investment Industry Association of Canada

When:
4/9/2013 1:00 PM
Rulemaking(s):
Cross-Border

CFTC Staff:
Gary Gensler

Jacqueline Mesa

Ryne Miller

Mark Fajfar
Visitor(s):
Roman Dubczak, CIBC World Markets Inc.

Peter Brown, Canaccord Financial Inc.

Charles Spiring, National Bank Financial

Paul Allison, Raymond James Ltd.

John Chambers, FirstEnergy Capital Corp.

Steven Donald, Assante Wealth Management Inc.

Earl Evans, Macquarie Private Wealth Inc.

Harris Fricker, GMP Securities L.P.

Michael Miller, BMO Capital Markets

Kerry Peacock, TD Bank Group

Sylvain Perreault, Desjardins Group

Michael Scott, RBC Dominion Securities

Greg Woynarski, Scotiabank Global Banking and Markets

Bryan Osmar, RBC Capital Markets

Ian Russell, Investment Industry Association of Canada
Organization(s):
Investment Industry Association of Canada

CIBC World Markets Inc.

Canaccord Financial Inc.

National Bank Financial

Raymond James Ltd. 

FirstEnergy Capital Corp. 

Assante Wealth Management Inc.

Macquarie Private Wealth Inc.

GMP Securities L.P.

BMO Capital Markets

TD Bank Group

Desjardins Group

RBC Dominion Securities

Scotiabank Global Banking and Markets 

RBC Capital Markets
  • Discussion of procedures for cross-border substituted compliance and international rule harmonization, focusing on areas such as capital requirements, reporting and risk management policies and procdures.  Also discussed requirements potentially applicable to foreign exchange transactions.

See Also:

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