External Meetings: Meeting w/ Goldman Sachs

External Meetings: Meeting w/ Goldman Sachs

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Participants discussed a few items that may be considered for Dodd-Frank including real time and block trades, entity definitions, business conduct standards and extraterritoriality.

External Meetings: BlackRock Meeting

External Meetings: BlackRock Meeting

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Topics of discussion included:


-Implementation


-External Business Conduct Rule


-Definition of Commodity Pools


-Client Clearing Documentation


-FCM Risk Management

External Meetings: Meeting with the Consumer Federation of America and Better Markets, Inc.

External Meetings: Meeting with the Consumer Federation of America and Better Markets, Inc.

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External Business Conduct Rules
: safe harbor provisions


Definitions
: 'independent' advisers; need for 'material' business relationships to be disclosed. Leveling the playing field for public interest groups.

External Meetings: Meeting with the Consumer Federation of America and Better Markets, Inc.

External Meetings: Meeting with the Consumer Federation of America and Better Markets, Inc.

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Discussions concerning business-conduct standards with counter parties.

External Meetings: Meeting w/BP

External Meetings: Meeting w/BP

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Topics of discussion:


 


SD Definition


Capital & Margin


Business Conduct Standards


Position Limits

External Meetings: Meeting with US Bank

External Meetings: Meeting with US Bank

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Discussions concerning swaps data reporting requirements, external and internal business conduct rules, margin and collateral.

External Meetings: Phone Call with NRECA

External Meetings: Phone Call with NRECA

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Participants discussed the swap definition and in particular the forward exclusion from the swap definition.

External Meetings: Call with Cargill

External Meetings: Call with Cargill

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Participants discussed the swap definition and in particular the forward exclusion as applied to certain agricultural contracts.

External Meetings: Meeting with Autonomy

External Meetings: Meeting with Autonomy

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Discussion with Autonomy about proposed amended recordkeeping requirements in Regulation 1.35(a).

External Meetings: Phone call with Kevin Foley (Katten Muchin Rosenman LLP)

External Meetings: Phone call with Kevin Foley (Katten Muchin Rosenman LLP)

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Discussion with Kevin Foley (Katten Muchin Rosenman LLP) re proposed requirement (in proposed Reg. 39.13(g)) that the Risk Management Committee of a DCO review the performance of the DCO's Chief Compliance Officer

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