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External Meetings: CFTC/SEC consultation with NACUBO

8/24/2010 1:30 PM
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

Michael Solinsky

Katie Driscoll

Ted Kneller

Peter Sanchez

Vivek Jain
Ruth Constantine (Vice President for Finance and Administration, Smith College)

Dean Currie (Vice President for Business and Finance, California Institute of Technology)

Sandra Kim (Executive Director - External Finance, University of California)

Christopher Klem, Esq. (Ropes & Gray (on behalf of Harvard University))

Mark Schmid (Vice President and Chief Investment Officer, University of Chicago)

Scott Sudduth (Associate Vice President, University of Chicago)

John O'Hara (University of Chicago)

Gerald Whittington (ELON)

Don Mortenson (Seattle Pacific U.)

Jim Eastman (SEC)

David Dimitrious (SEC)

Cindy Oh (SEC)

Joanne Rutkowski (SEC)

Christine Sibille (SEC)

Paula Jenson (SEC)

Rich Ferlauto (SEC)
National Association of College and University Business Officers (NACUBO)
  • 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 universities and their endowment funds use of swaps and their business relationships with swaps dealers in the context of business conduct standards.