re : sfa individual registrations hi julie ,
it is so nice to hear from you . i have had several conversations with
the houston compliance people regarding how to keep my sfa licenses current .
as per your request , i will respond to your questions in your email :
- - - - - original message - - - - -
from : russell , julie
sent : friday , april 06 , 2001 10 : 19 am
to : mack , iris
subject : sfa individual registrations
iris
your mails regarding sfa registration finally made their way to me , as i look
after all enron ' s individual registrations with the sfa .
at present , we are able to register overseas based individuals , although this
may change towards the end of the year when the fsa takes over from the sfa
as lead regulator in the uk .
i am sort of overseas . however i will be spending some time in the london
office ( which is another reason why i don ' t want to lose my sfa
designations ) . as a matter of fact , i will be coming to london office in a
week or two - and staying there for a while .
there is still a lot of uncertainty surrounding how the fsa will implement
individual registrations , but it has stated that anyone registered with the
sfa at the point at which the fsa takes over , will be automatically
' grandfathered ' across to the new regulator . time will tell , what will
happen thereafter .
what we need to do as far as your registration is concerned , is to submit a
transfer form to the sfa to move your registration to enron . i shall put a
form in the mail to you ( please let me know where to send it ) for signature
and update of personal details .
my enron office address in houston is as follows :
iris mack
research department
1400 smith street , 1972 d
houston , texas 77002 usa
as we have to submit the form to the sfa with original signatures , please
return it to me at enron house and i can get it authorised by our sfa
compliance officer , jonathan marsh . i will then inform you when i receive
confirmation of your acc
could you respond to the following by return e - mail ;
name of the sfa regulated firm where you were last registered ;
banque nationale de paris paribas at 10 harewood avenue in london
date ( approximation ) when you left the above ;
august 2000
type of registration you held - please note we can only register you in the
following registers ; general representative , futures and options
representative , securities representative or corporate finance representative
i passed three exams : derivatives , securities and regulations
the final question is whether you are going to be based in houston
permanently or whether you know at this stage if / when you will be returning
to the uk .
right now i will be spending time in both houston and london . see above
explanation .
hopefully i have answered all your questions . please let me know if you
require additional information .
kind regards ,
iris
look forward to hearing from you
best regards
julie
julie russell
compliance and regulatory
re : sfa individual registrations
hi julie ,
it is so nice to hear from you . i have had several conversations with
the houston compliance people regarding how to keep my sfa licenses current .
as per your request , i will respond to your questions in your email :
- - - - - original message - - - - -
from : russell , julie
sent : friday , april 06 , 2001 10 : 19 am
to : mack , iris
subject : sfa individual registrations
iris
your mails regarding sfa registration finally made their way to me , as i look
after all enron ' s individual registrations with the sfa .
at present , we are able to register overseas based individuals , although this
may change towards the end of the year when the fsa takes over from the sfa
as lead regulator in the uk .
i am sort of overseas . however i will be spending some time in the london
office ( which is another reason why i don ' t want to lose my sfa
designations ) . as a matter of fact , i will be coming to london office in a
week or two - and staying there for a while .
there is still a lot of uncertainty surrounding how the fsa will implement
individual registrations , but it has stated that anyone registered with the
sfa at the point at which the fsa takes over , will be automatically
' grandfathered ' across to the new regulator . time will tell , what will
happen thereafter .
what we need to do as far as your registration is concerned , is to submit a
transfer form to the sfa to move your registration to enron . i shall put a
form in the mail to you ( please let me know where to send it ) for signature
and update of personal details .
my enron office address in houston is as follows :
iris mack
research department
1400 smith street , 1972 d
houston , texas 77002 usa
as we have to submit the form to the sfa with original signatures , please
return it to me at enron house and i can get it authorised by our sfa
compliance officer , jonathan marsh . i will then inform you when i receive
confirmation of your acc
could you respond to the following by return e - mail ;
name of the sfa regulated firm where you were last registered ;
banque nationale de paris paribas at 10 harewood avenue in london
date ( approximation ) when you left the above ;
august 2000
type of registration you held - please note we can only register you in the
following registers ; general representative , futures and options
representative , securities representative or corporate finance representative
i passed three exams : derivatives , securities and regulations
the final question is whether you are going to be based in houston
permanently or whether you know at this stage if / when you will be returning
to the uk .
right now i will be spending time in both houston and london . see above
explanation .
hopefully i have answered all your questions . please let me know if you
require additional information .
kind regards ,
iris
look forward to hearing from you
best regards
julie
julie russell
compliance and regulatory