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FIA Publishes Guidance for European Firms and Third Party Algorithmic Trading Providers

FIA Publishes Guidance for European Firms and Third Party Algorithmic Trading Providers

13 December 2018 5:00pm EST

MiFID II and recent supervisory guidance from the Financial Conduct Authority and Prudential Regulatory Authority require firms in scope of the rules to closely supervise their algorithmic trading systems, including the development, testing and deployment of such systems.  Increased outsourcing of algorithmic trading to third-party providers has made compliance with the requirements more difficult for those in scope.  FIA has published principles-based guidance to assist firms in meeting applicable oversight requirements.  The guidance reflects input from both market participants and vendors.

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Guidance for Firms and Third Party Algorithmic Trading Providers.pdf (343.66 KB)

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