External Meetings: CFTC/SEC consultation with 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.
When
Rulemaking(s)
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
Katie Driscoll
Ted Kneller
Todd Prono
Vivek Jain
Barry McCarty
Mike Solinsky
John Dolan
Stephanie Horne
Visitor(s)
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)
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)
Organization(s)
D.E. Shaw