EC Consultation on a Code of Conduct for Interested Representatives

Published on:
February 14, 2008

SIFMA provides comments to the European Commission (EC) on the EC Consultation on a Code of Conduct for Interested Representatives.  SIFMA generally supports the Scope, Principles and Rules of the draft Code of Conduct but makes a number of suggestions to clarify the obligations of the Code.SIFMA shares its concerns with some of the ‘Other Provisions’ linked to the Code, notably aspects of the registration scheme and suggest that the EC consult further on these issues.

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.