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External Meetings: CFTC/SEC consultation with Citigroup

8/19/2010 4:00 PM
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

Katherine Driscoll

Stephanie Horne

Ted Kneller

Todd Prono

Barry McCarty

Peter Sanchez

Michael Solinsky

Stephen Painter

Jim Goodwin

Russell Battaglia
Robert Klein (Legal - Citigroup)

Don Bendernagel (Legal - Citigroup)

Omer Oztan (Legal - Citigroup)

Silas Findley (Legal - Citigroup)

Bis Chatterjee (Credit Derivatives - Citigroup)

Matt Wareing (Commodities - Citigroup)

Vicki Sharp (Legal - Citigroup)

Jim Eastman (SEC)

David Dimitrious (SEC)

Joanne Rutkowski (SEC)

Christine Sibille (SEC)

Cindy Oh (SEC)

Mary Simpkins (SEC)
  • 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.