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External Meetings: CFTC/SEC consultation with D.E. Shaw

8/23/2010 12:00 PM
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

Katie Driscoll

Ted Kneller

Todd Prono

Vivek Jain

Barry McCarty

Mike Solinsky

John Dolan

Stephanie Horne
Jonathan Goldberg (Legal, D.E. Shaw)

Jonathan Ching (Legal, D.E. Shaw)

Neil Schwartz (Compliance, D.E Shaw)

David Moss (Legal, D.E. Shaw)

Peter Curly (SEC)

Joanne Rutkowski (SEC)

Tom Eady (SEC)

Christine Sibille (SEC)

Rich Ferlauto (SEC)

Caite McGuire (SEC)

Juanita Hamlett (SEC)

Lourdes Gonzalez (SEC)

David Dimitrious (SEC)

Mike Reedich (SEC)

Mike Fioribello (SEC)
D.E. Shaw
  • 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.