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External Meetings: CFTC/SEC Consultation with Morgan Stanley

10/14/2010 11:30 AM
III. Business Conduct Standards w/ Counterparties

CFTC Staff:
Phyllis Cela

Katherine Driscoll

Ted Kneller

Barry McCarty

Todd Prono

Peter Sanchez

Michael Solinsky

John Dolan
Anthony Cicia (Morgan Stanley)

Soo-Mi Lee (Morgan Stanley)

Richard Ostrander (Morgan Stanley)

Mary Lou Peters (Morgan Stanley)

RoseAnne Richter (Morgan Stanley)

Peter Curley (SEC)

Lourdes Gonzalez (SEC)

Jack Habert (SEC)

Cindy Oh (SEC)

Joanne Rutkowski (SEC)

Dave Sanchez (SEC)

Elizabeth Sandoe (SEC)

Christine Sibille (SEC)

James Sinnott (SEC)

Katrina Wilson (SEC)
Morgan Stanley
  • The consultation was conducted at the SECs Washington, DC office.  CFTC staff participated by teleconference.~~~The participants reviewed the statutory language regarding business conduct, including §4s(h) 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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