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External Meetings: Meeting with Russell Investments

When:
7/12/2011 10:00 AM
Rulemaking(s):
III. Business Conduct Standards w/ Counterparties

CFTC Staff:
Phyllis Cela (CFTC)

Barry McCarty (CFTC)

Peter Sanchez (CFTC)

Ted Kneller (CFTC)
Visitor(s):
Joanne Rutkowski (SEC)

Cindy Oh (SEC)

Brian Golob (Russell Investments)

Ian Toner (Russell Investments)

Lisa Cavallari (Russell Investments)

Erik Strom (Russell Investments)
Organization(s):
Russell Investments
  • The external attendees further discussed the views expressed in the February 18 comment letter.  The external attendees also discussed industry practices with respect to the following: (1) conflicts of interest disclosures (2) scenario analyses; (3) daily mark; (4) Special Entity definition and collective investment vehicles; (5) timing of certain disclosures such as term sheets; (6) recommendations; (7) policies and procedures for selecting an investment manager; (8) “independence” of Special Entity  representative; and (9) front-running prohibition.

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