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Enron Mail |
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, 1972d 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
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