Meeting Date:
Tuesday, April 9, 2013
CFTC Staff:
Gary Gensler
Jacqueline Mesa
Ryne Miller
Mark Fajfar
Organization(s):
Investment Industry Association of Canada
CIBC World Markets Inc.
Canaccord Financial Inc.
National Bank Financial
Raymond James Ltd.
FirstEnergy Capital Corp.
Assante Wealth Management Inc.
Macquarie Private Wealth Inc.
GMP Securities L.P.
BMO Capital Markets
TD Bank Group
Desjardins Group
RBC Dominion Securities
Scotiabank Global Banking and Markets
RBC Capital Markets
External Attendees:
Roman Dubczak, CIBC World Markets Inc.
Peter Brown, Canaccord Financial Inc.
Charles Spiring, National Bank Financial
Paul Allison, Raymond James Ltd.
John Chambers, FirstEnergy Capital Corp.
Steven Donald, Assante Wealth Management Inc.
Earl Evans, Macquarie Private Wealth Inc.
Harris Fricker, GMP Securities L.P.
Michael Miller, BMO Capital Markets
Kerry Peacock, TD Bank Group
Sylvain Perreault, Desjardins Group
Michael Scott, RBC Dominion Securities
Greg Woynarski, Scotiabank Global Banking and Markets
Bryan Osmar, RBC Capital Markets
Ian Russell, Investment Industry Association of Canada
Additional Information:
Discussion of procedures for cross-border substituted compliance and international rule harmonization, focusing on areas such as capital requirements, reporting and risk management policies and procdures. Also discussed requirements potentially applicable to foreign exchange transactions.
