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Industry Guidance

Access guidance and best practices for members, their customers and market participants on operational and technological issues as well as law, regulatory and compliance issues.

Regulatory Guidance

  • FIA Responds to CFTC Retail DCO Request with Suggestion for Simplified Regulatory Approach

    FIA invites the CFTC to consider a modified regime for fully collateralized and pre-funded clearing models, including those catering to retail traders. CONTINUE READING

  • FIA responds to FCA consultation on improving the UK Transaction Reporting Regime

    FIA has responded to the Financial Conduct Authority’s consultation on improving the UK Transaction Reporting Regime. FIA welcomes several positive elements within the proposals, including reduced back-reporting timelines and the removal of low-value reportable fields. At the same time, FIA highlights industry concerns relating to proposals on conditional single-sided reporting, which members believe are unlikely to deliver meaningful efficiency gains. CONTINUE READING

  • ETD Volume - January 2026

    Worldwide volume of exchange-traded derivatives reached 13.43 billion contracts in January. This increased 17.4% from December 2025 and increased 30.6% from January 2025. CONTINUE READING

  • FIA responds to EBA SREP guidelines consultation

    FIA highlights issues for consideration by the EBA for the SREP Guidelines, with the aim of increasing proportionality and increase alignment with existing EU regulatory frameworks in the Operational Resilience space. CONTINUE READING

  • FIA New Member Profile – Qube Research & Technologies

    Qube Research & Technologies (QRT) is a global investment manager, deploying a diverse range of investment strategies across geographies, asset classes and time frames. CONTINUE READING

  • FIA New Member Profile – Lime Trading Corp.

    Lime Trading Corp. is a registered non-clearing FCM, providing institutional, professional and retail traders with direct market access and low-latency execution for futures trading. CONTINUE READING
Read All Regulatory Guidance

Operational and Technology Guidance

  • FIA Responds to CFTC Retail DCO Request with Suggestion for Simplified Regulatory Approach

    FIA invites the CFTC to consider a modified regime for fully collateralized and pre-funded clearing models, including those catering to retail traders. CONTINUE READING

  • FIA responds to FCA consultation on improving the UK Transaction Reporting Regime

    FIA has responded to the Financial Conduct Authority’s consultation on improving the UK Transaction Reporting Regime. FIA welcomes several positive elements within the proposals, including reduced back-reporting timelines and the removal of low-value reportable fields. At the same time, FIA highlights industry concerns relating to proposals on conditional single-sided reporting, which members believe are unlikely to deliver meaningful efficiency gains. CONTINUE READING

  • ETD Volume - January 2026

    Worldwide volume of exchange-traded derivatives reached 13.43 billion contracts in January. This increased 17.4% from December 2025 and increased 30.6% from January 2025. CONTINUE READING

  • FIA responds to EBA SREP guidelines consultation

    FIA highlights issues for consideration by the EBA for the SREP Guidelines, with the aim of increasing proportionality and increase alignment with existing EU regulatory frameworks in the Operational Resilience space. CONTINUE READING

  • FIA New Member Profile – Qube Research & Technologies

    Qube Research & Technologies (QRT) is a global investment manager, deploying a diverse range of investment strategies across geographies, asset classes and time frames. CONTINUE READING

  • FIA New Member Profile – Lime Trading Corp.

    Lime Trading Corp. is a registered non-clearing FCM, providing institutional, professional and retail traders with direct market access and low-latency execution for futures trading. CONTINUE READING
Read All Operational & Technology Guidance