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External Meetings: Meeting with Securities Industry and Financial Markets Association
  
    



  Participants discussed Business Conduct Standards in conjunction with conflicts of interest policies and procedures by swap dealers and major swap participants, conflicts of interest policies and procedures by Futures Commission Merchants and Introducing Brokers and Chief Compliance Officer.  In addition participants discussed, Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant,
      
  When
              02/09/2012

  Rulemaking(s)
              IV. Business Conduct Standards – InternalGeneral

  CFTC Staff
              Clay PedersonSalman Banaei

  Visitor(s)
              See attached document for full participant list.

  Organization(s)
              Goldman Sachs, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities, Futures Industry Association (FIA), Securities Industry and Financial Markets Association (SIFMA), Pershing, Morgan Stanley & Co., Wilmer Hale, NewEdge, Macquarie Group

  Related Links
          Attendees, SIFMA meeting 2-9-12_1308  RELATED LINKS
    

      Attendees, SIFMA meeting 2-9-12_1308


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