{"id":170394,"date":"2014-10-23T15:11:58","date_gmt":"2014-10-23T15:11:58","guid":{"rendered":"https:\/\/wordpress-693215-2610341.cloudwaysapps.com\/index.php\/2014\/10\/23\/appeal-for-help-sef-terms-and-conditions\/"},"modified":"2014-10-23T15:11:58","modified_gmt":"2014-10-23T15:11:58","slug":"appeal-for-help-sef-terms-and-conditions","status":"publish","type":"post","link":"https:\/\/theotcspace.com\/appeal-for-help-sef-terms-and-conditions\/","title":{"rendered":"Appeal For Help | SEF Terms and Conditions"},"content":{"rendered":"<p>I have had an enquiry from a US investment management firm, who is beginning to engage with SEFs. The firm has been reviewing the rulebooks from certain SEFs quite closely, and have concerns over a number of issues, which they&#39;d like help with:<\/p>\n<ul>\n<li>Personal liability of their staff<\/li>\n<li>Indemnifying staff against legal issues with the SEF<\/li>\n<li>Inspection of their own Books and Records by the SEF<\/li>\n<li>Suitable training for staff who engage with the SEF<\/li>\n<li>The definition of &#39;supervised persons&#39;<\/li>\n<li>The indirect trading model<\/li>\n<\/ul>\n<p>From seeing a longer list this seems like an opportunity for a similar buy-side firm to help out on a call, or else a law firm to advise on the real-world implementation of the SEF rule books. If anyone has&nbsp;experience of the legal and compliance side of a SEF rule book for a small investment management firm, and can spare an hour on a call,<a href=\"https:\/\/theotcspace.com\/contact\"> contact myself directly first<\/a> and I will put you in touch with our mutual acquaintance.<\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>I have had an enquiry from a US investment management firm, who is beginning to engage with SEFs. The firm has been reviewing the rulebooks from certain SEFs quite closely, &#8230; <\/p>\n<div><a href=\"https:\/\/theotcspace.com\/appeal-for-help-sef-terms-and-conditions\/\" class=\"more-link\">Read More<\/a><\/div>\n","protected":false},"author":1,"featured_media":15962,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[2857,2849],"tags":[],"acf":[],"_links":{"self":[{"href":"https:\/\/theotcspace.com\/wp-json\/wp\/v2\/posts\/170394"}],"collection":[{"href":"https:\/\/theotcspace.com\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/theotcspace.com\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/theotcspace.com\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/theotcspace.com\/wp-json\/wp\/v2\/comments?post=170394"}],"version-history":[{"count":0,"href":"https:\/\/theotcspace.com\/wp-json\/wp\/v2\/posts\/170394\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/theotcspace.com\/wp-json\/"}],"wp:attachment":[{"href":"https:\/\/theotcspace.com\/wp-json\/wp\/v2\/media?parent=170394"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/theotcspace.com\/wp-json\/wp\/v2\/categories?post=170394"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/theotcspace.com\/wp-json\/wp\/v2\/tags?post=170394"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}