SOLICITATION NOTICE
B -- Intent to Award Sole Source - Securities Expertise Services for CFTC's Division of Clearing and Intermediary Oversight
- Notice Date
- 9/7/2011
- Notice Type
- Presolicitation
- NAICS
- 541690
— Other Scientific and Technical Consulting Services
- Contracting Office
- Commodity Futures Trading Commission, Office of Financial Management-Procurement, Procurement Operations and Policy, Three Lafayette Centre, 1155 21st Street, N.W., Washington, District of Columbia, 20581
- ZIP Code
- 20581
- Solicitation Number
- CFCI-11-SO-0228
- Archive Date
- 9/29/2011
- Point of Contact
- William M Roberson, Phone: 202-418-5367
- E-Mail Address
-
wroberson@cftc.gov
(wroberson@cftc.gov)
- Small Business Set-Aside
- N/A
- Description
- The Commodity Futures Trading Commission ('CFTC' or 'Commission') intends to procure the services of Anthony Lucarelli, on a sole source basis, for additional securities expertise to advise on and to assist CFTC's Division of Clearing and Intermediary Oversight ('DCIO') in performing risk evaluations of complex broker-dealer/futures commission merchants ('BDs/FCMs') pertaining to capital and segregation regulatory requirements. The work to be performed is a follow-on to an existing contract with this individual. The new contemplated contract will have a period of performance of one (1) year and will have the primary purpose of augmenting CFTC's organizational proficiency in the performance of periodic reviews of the Financial and Operational Combined Uniform Single ('FOCUS') reports, which are filed by dual registered futures commission merchants and securities broker-dealers (BDs/FCMs), and conducting on-site examinations. As such, the CFTC requires the services of an expert on the FOCUS Report, including technical knowledge of the SEC's capital and customer protection rules and interpretations applicable to the FOCUS Report, who can apply his or her knowledge to advise on and to assist in performing risk evaluations of the more complex BDs/FCMs in connection with capital and segregation regulatory requirements. The contractor will be required to work with Commission staff to analyze and to evaluate the more complex BDs/FCMs with the objective of identifying areas of weakness in asset quality or extra risk in liabilities or off-balance-sheet items, prepare an estimated quantification of the items, and prepare pro-forma capital/segregation computations reflecting the impact of the risks. After the analysis process is developed, the contractor will participate, as required by the Commission, on certain field reviews of complex dual registrants with the purpose of validating the analysis developed for the review of the registrant's capital. The contractor will also provide advice to Commission staff on questions relating to policy, broker-dealer regulations (both SEC and FINRA) and OTC operations and practice. Based on the procurement history of this requirement, and due to the unique qualifications of Anthony Lucarelli, CFTC believes that no other qualified source exists for this work. This notice does not constitute a solicitation for offers and, as such, no solicitation is available. However, the Government will consider responses from all responsible sources received by the date and time identified in this notice. Written responses must include sufficient information to establish capability to fulfill the requirement. Any responses received will only be considered for the purpose of determining whether to conduct a competitive procurement in lieu of the sole source described in this notice, and such determination shall be made at the sole discretion of CFTC.
- Web Link
-
FBO.gov Permalink
(https://www.fbo.gov/spg/CFTC/OFMP/POP/CFCI-11-SO-0228/listing.html)
- Place of Performance
- Address: CFTC New York Regional Office, 140 Broadway - 19th Floor, New York, New York, 10005, United States
- Zip Code: 10005
- Zip Code: 10005
- Record
- SN02565367-W 20110909/110907235454-fd8036b2d50c4ffd85b2f3d56de72776 (fbodaily.com)
- Source
-
FedBizOpps Link to This Notice
(may not be valid after Archive Date)
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