Comment Text:
External Meeting with U.S. Chamber of Commerce
Tuesday, March 01, 2011
Memo from
Riccobene, Edward J.
CFTC Staff :
Gary Gensler, Chairman
Timothy Karpoff, Legal Assistant to Chairman
David Meister, Director, Division of Enforcement
Vincent McGonagle, Sr. Deputy, Director, Division of Enforcement
Joan Manley, Deputy Director, Division of Enforcement
Edward Riccobene, Chief, Office of Policy & Review, Division of Enforcement
Leslie Randolph, Assistant General Counsel, Office of General Counsel
External Attendees :
Tom Quaadman, Vice President, Center for Capital Markets Competitiveness
Alice Joe, Senior Director, Center for Capital Markets Competitiveness
Frank Zarb, Partner, Proskauer Rose LLP
Additional Information :
Attendees discussed U.S. Chamber of Commerce comment letter. Topics raised were: simultaneous reporting by whistleblower to CFTC and company and importance of notice to company; company internal reporting obligations; time periods for reporting by company and whistleblower to CFTC; and award eligibility of culpable whistleblowers.
