Memo #
31971

Committee Call to Discuss ICI Meetings with CFTC Leadership, Regulatory Priorities
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[31971]

September 17, 2019

TO: Registered Fund CPO Advisory Committee RE: Committee Call to Discuss ICI Meetings with CFTC Leadership, Regulatory Priorities

 

The Commodity Futures Trading Commission is under new leadership. Chairman Heath P. Tarbert began his term on July 15 and has appointed several senior officials since then. The new Director for the Division of Swap Dealer and Intermediary Oversight (DSIO)—the Division that regulates commodity pool operators—is Joshua Sterling, a former partner at Morgan, Lewis & Bockius. 

In early October, ICI will meet with Chairman Tarbert to discuss his priorities for the Commission and our perspectives on CFTC regulation. We have scheduled separate meetings with Director Sterling, Commissioner Behnam, and Commissioner Berkovitz. Commissioner Stump will be away on official travel, so we will meet with her senior staff. Lastly, we are in the process of scheduling a meeting with Commissioner Quintenz. 

As part of our preparation for these meetings, ICI will host a committee conference call on Tuesday, October 1 from 2-3 pm Eastern. On the call, we will discuss what we might expect under the CFTC’s new leadership and what we know thus far about possible areas of focus for the Commission in the next year. 

If you would like to propose additional topics for discussion, please contact us by Thursday, September 26. 

You will receive an Outlook appointment for this call. If you plan to participate, please accept the appointment.  Having an accurate head count will help us avoid a situation in which there are not enough lines for all participants. 

We hope you will join this discussion. Please feel free to contact us with any questions or concerns.

 

Sarah A. Bessin
Associate General Counsel

Rachel H. Graham
Associate General Counsel

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    Commodity Futures Trading Commission (CFTC)