Diligent Supervision Archives - Managed Funds Association - MFA

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› Issues & Policy

Topic: Diligent Supervision

Comment Letter to SEC on Proposed Rules for Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants08.29.11

MFA submitted a comment letter to the SEC in response to proposed business conduct standards for security-based swap dealers and […]

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Topics: Security-Based Swap Dealers Security-Based Swap Participants, Securities and Exchange Commission, Business Conduct Standards, SBS Dealers, Major SBS Participants, transparency, market integrity, risk mitigation trading activity, prescriptive standards, Diligent Supervision, Qualified Representative, material information, clearing rights, daily mark, Self Regulatory Organizations, SRO, Financial Industry Regulatory Authority, FINRA, National Futures Association, NFA, broker dealers, BD, futures commission merchants, FCM, eligible contract participants, investment vehicles, special entity,

Comment Letter to the CFTC on Business Conduct Standards for Swap Dealers and Major Swap Participants with Counterparties02.22.11

MFA submitted a comment letter to the CFTC on its proposal on Business Conduct Standards for Swap Dealers and Major […]

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Topics: Commodity Futures Trading Commission CFTC, Business Conduct Standards, swap dealers, SDs, major swap participants, MSPs, counterparties, risk, transparency, market integrity, financial system, market making, pricing practices, sales practices, default risk, market realities, capital requirements, margin requirements, Diligent Supervision, suitability recommendation, Qualified Representative, counterparty duties, futures market, derivatives market, know your counterparty, scenario analysis, daily mark requirement, endowments, employee benefit plans, government entities, SEC, Securities and Exchange Commission, dealers, non-dealers, sell-side functions, buy-side functions, portfolio, asset class, financial end user, execution obligations, open trading marketplace, National Futures Association, NFA, futures commission merchants, FCMs, arm's-length basis, EBC I Inc. v. Goldman Sachs & Co, Disclosure, diligence, recommendation, interdependency, daily marks, uncleared swaps, high risk complex bilateral swaps, high risk bilateral swap, moral hazard, state agency, employee benefit plan, governmental plan, endowment, investment strategy, offsetting public benefit, prohibited transaction rules, special entity, non-special entity investors, qualified professional asset manager, in-house asset manager, Blanche Lincoln.,