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External Meetings: CFTC/SEC consultation with MFA
When:
8/20/2010 3:00 PM
Rulemaking(s):
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Todd Prono
Peter Sanchez
Phyllis Cela
Katherine Driscoll
Ted Kneller
Barry McCarty
Michael Solinsky
Peter Sanchez
Phyllis Cela
Katherine Driscoll
Ted Kneller
Barry McCarty
Michael Solinsky
Visitor(s):
Kim Rozman (HBK)
Jim Eastman (SEC)
David Dimitrious (SEC)
Lourdes Gonzalez (SEC)
Caite McGuire (SEC)
Joanne Rutkowski (SEC)
Christine Sibille (SEC)
Cindy Oh (SEC)
Jim Eastman (SEC)
David Dimitrious (SEC)
Lourdes Gonzalez (SEC)
Caite McGuire (SEC)
Joanne Rutkowski (SEC)
Christine Sibille (SEC)
Cindy Oh (SEC)
Organization(s):
MFA
HBK
HBK
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The consultation was conducted 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 managed investment funds' use of swaps and their business relationships with swaps dealers in the context of business conduct standards.
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