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External Meetings: Teleconference with Tennesee Office of the Comptroller of the Treasury

8/29/2011 3:00 PM
III. Business Conduct Standards w/ Counterparties

CFTC Staff:
Phyllis Cela

Erik Remmler

Ted Kneller
Mary Simpkins (SEC)

Dave Sanchez (SEC)

Jack McWilliams (SEC)

Lourdes Gonzalez (SEC)

Joanne Rutkowski (SEC)

Cindy Oh (SEC)


Mary-Margaret Collier (TOCT)
Tennessee Office of the Comptroller of the Treasury (TOCT)
  • The external attendees discussed industry practices for municipal issuers that transact in swaps with respect to the following: (1) conflicts of interest (2)  policies and procedures for selecting a financial advisor; (3) independence standards; and (4) request for proposal processes.