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External Meetings: CFTC/SEC consultation with Citigroup
When:
8/19/2010 4:00 PM
Rulemaking(s):
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
Katherine Driscoll
Stephanie Horne
Ted Kneller
Todd Prono
Barry McCarty
Peter Sanchez
Michael Solinsky
Stephen Painter
Jim Goodwin
Russell Battaglia
Visitor(s):
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)
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)
Organization(s):
Citigroup
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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.
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