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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 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

  • 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

  • The Criminal Provisions of the Commodity Exchange Act

    This webinar provides an overview of the criminal provisions of the Commodity Exchange Act and practical insights for firms to avoid liability. Specific topics will include: the elements of criminal violations under the CEA, notable prosecutions brought under the criminal provisions, analysis of why prosecutors prefer using the wire fraud and commodities fraud statutes to charge commodities fraud schemes, how criminal prosecutors analyze potential criminal commodity violations as well as their process for approving charges and practice pointers for avoiding criminal scrutiny for CEA violations. Jones Day attorneys draw on their prior experience at both the CFTC and DOJ where they served in senior roles. CONTINUE READING

  • FIA and ISDA respond to CPMI-IOSCO consultation on general business losses

    FIA and ISDA backed CPMI-IOSCO proposals, urging clearer prescriptive treatment of FMI general business losses, stronger resources, consistent scenarios, transparency, and rejecting margin gains haircutting. CONTINUE READING
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Operational and Technology Guidance

  • 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

  • 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

  • FIA and ISDA respond to CPMI-IOSCO consultation on general business losses

    FIA and ISDA backed CPMI-IOSCO proposals, urging clearer prescriptive treatment of FMI general business losses, stronger resources, consistent scenarios, transparency, and rejecting margin gains haircutting. CONTINUE READING

  • The Criminal Provisions of the Commodity Exchange Act

    This webinar provides an overview of the criminal provisions of the Commodity Exchange Act and practical insights for firms to avoid liability. Specific topics will include: the elements of criminal violations under the CEA, notable prosecutions brought under the criminal provisions, analysis of why prosecutors prefer using the wire fraud and commodities fraud statutes to charge commodities fraud schemes, how criminal prosecutors analyze potential criminal commodity violations as well as their process for approving charges and practice pointers for avoiding criminal scrutiny for CEA violations. Jones Day attorneys draw on their prior experience at both the CFTC and DOJ where they served in senior roles. CONTINUE READING
Read All Operational & Technology Guidance