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External Meetings: Meeting with Russell Investments

7/12/2011 10:00 AM
III. Business Conduct Standards w/ Counterparties

CFTC Staff:
Phyllis Cela (CFTC)

Barry McCarty (CFTC)

Peter Sanchez (CFTC)

Ted Kneller (CFTC)
Joanne Rutkowski (SEC)

Cindy Oh (SEC)

Brian Golob (Russell Investments)

Ian Toner (Russell Investments)

Lisa Cavallari (Russell Investments)

Erik Strom (Russell Investments)
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.