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External Meetings: CFTC/SEC consultation with Goldman Sachs

8/19/2010 10:00 AM
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

Vivek Jain

Barry McCarty

Russell Battaglia

Katie Driscoll

Ted Kneller

Mike Solinsky

Peter Cockrell

Jim Goodwin

Stephen Painter

Stephanie Horne
Bonnie Litt (Goldman)

Alan Wilmit (Goldman)

Robert Mass (Goldman)

Peter Curley (SEC)

Jim Eastman (SEC)

Lourdes Gonzalez (SEC)

Juanita Hamlett (SEC)

Caite McGuire (SEC)

Angela Moudy (SEC)

Joanne Rutkowski (SEC)

Christine Sibille (SEC)

Cindy Oh (SEC)

James Sinnott (SEC)
Goldman Sachs
  • The consultation was conducted via video-conference between the CFTC's New York office and Washington, DC office. SEC participants joined via teleconference. The participants reviewed the statutory language regarding business conduct, including ?4s(h) and ?4c(a)(7) of the Commodity Exchange Act and ?15F(h) of the Securities Exchange Act of 1934. The participants also discussed the nature the swaps dealing business in the context of business conduct standards.