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External Meetings: CFTC/SEC consultation with SIFMA

8/25/2010 3:30 PM
III. Business Conduct Standards w/ Counterparties
CFTC Staff:
Phyllis Cela

John Dolan

Katie Driscoll

Stephanie Horne

Vivek Jain

Ted Kneller

Barry McCarty

Todd Prono

Peter Sanchez

Mike Solinsky
Robert Dilworth (SVP & Associate General Counsel, Bank of America)

Justin Kletter (Bank of America)

Kim Loepp (Associate General Counsel, Bank of America)

Eric Hambleton (Associate General Counsel, Barclays Capital)

Jaroslaw Hawrylewicz (Barclays Capital)

Emilio Jimenez (Barclays Capital)

Kathleen Peacock (Barclays Capital)

Andrew Alter (Managing Director, BNP Paribas)

Nick Gao (Vice President & Counsel, BNP Paribas)

Donald Bendernagel (Managing Director & Counsel, Citigroup)

Silas Finely (Citigroup)

Steve Keltz (Associate General Counsel, Citigroup)

Bob Klein (Managing Director & Counsel, Citigroup)

Rohan Dulrajani (Clearly Gottleib)

Maureen Healy (Clearly Gottleib)

Colin Llyod (Clearly Gottleib)

Steve Gray (Credit Suisse)

Peter Haller (Credit Suisse)

Jon Hamilton (Credit Suisse)

Davis Rosen (Vice President and Council, Credit Suisse)

Daniel N. Budofsky (Partner, Davis Polk)

John Messina (Deutsche Bank)

Alexia Breuvart (Deutsche Bank)

Joanna Fields (Director, Deutsche Bank)

Chip Goodrich (Managing Director-Senior Counsel, Deutsche Bank)

Marcelo Riffaud (Managing Director, Deutsche Bank)

Usec Rho (Deutsche bank)

Ricardo Salaman (Goldman, Sachs & Co.)

Rosario Chiarenza (Counsel, ISDA)

Mary Johannes (Senior Director and Head of U.S. Public Policy, ISDA)

Elliot Chalom (JP Morgan)

David Taub, Partner (McDermott Will & Emery LLP)

Anthony C. Cicia (Executive Director, Morgan Stanley)

Kevin Schwartz (Executive Director, Morgan Stanley)

Angie Karna (Managing Director, Nomura Securities International, Inc.)

Heather Wingate (Managing Director, Nomura Securities International, Inc.)

Sean Davy (Managing Director, SIFMA)

Michael Decker (SIFMA)

Jeremy Simon (Analyst, SIFMA)

Cory Strupp (Managing Director, SIFMA)

Mary Lou Guttmann (Senior Vice President and Assistant General Counsel, Wells Fargo)

Barry Taylor-Brill (Managing Counsel, Wells Fargo)

Jim Eastman (SEC)

David Dimitrious (SEC)

Rich Ferlauto (SEC)

Andrew Feller (SEC)

Mike Fioribllo (SEC)

Lourdes Gonzalez (SEC)

Juanita Hamlett (SEC)

Katherine Martin (SEC)

Caite McGuire (SEC)

Cindy Oh (SEC)

Joanne Rutkowski (SEC)

Christine Sibille (SEC)
Securities Industry & Financial Markets Association (SIFMA)
  • 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 and activities of the swaps dealing business and dealers interactions with counterparties.

See Also:

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