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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

  • CCP Tracker update - Q1 2025 highlights

    FIA has updated its CCP Tracker visualizations with data from the first quarter.

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  • June 2025 stats on customer funds held at US FCMs

    The total amount of customer funds in futures accounts at US FCMs reached a record $395.7 billion in June, up 1.4% from the previous month and up 24.1% over the last 12 months. The number of FCMs holding customer funds in futures accounts was recorded at 50 in June, up from 49 year ago but down from 53 five years ago.

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  • FIA responds to SEBI closing auction session proposal

    FIA has submitted comments to the Securities and Exchange Board of India on its proposal to introduce a closing auction session in the equity cash segment. FIA welcomes SEBI’s initiative as an important step in bringing India’s market structure closer to global best practices.

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  • FIA responds to ESMA consultation on margin transparency requirements

    FIA has responded to the European Securities and Markets Authority’s consultation on margin transparency requirements, urging the regulator not to mandate overly prescriptive requirements for clearing member firms, particularly those that do not apply their own margin models but simply pass through clearinghouses’ margin requirements to clients. 

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  • FIA cautions ESMA on overly prescriptive margin transparency rules for clearing firms

    FIA has responded to the European Securities and Markets Authority’s consultation on margin transparency requirements, urging the regulator not to mandate overly prescriptive requirements for clearing member firms, particularly those that do not apply their own margin models but pass through clearinghouses’ margin requirements to clients. 

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  • FIA responds to ESMA consultation on clearing fees and associated costs disclosure requirements

    FIA has submitted a response to the European Securities and Markets Authority’s consultation paper on clearing fees and associated costs information under the European Market Infrastructure Regulation (EMIR 3.0). FIA cautions against the proposed requirements on clearing service providers, which are duplicative, and suggests an alternative approach.

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Operational and Technology Guidance

  • CCP Tracker update - Q1 2025 highlights

    FIA has updated its CCP Tracker visualizations with data from the first quarter.

    CONTINUE READING

  • June 2025 stats on customer funds held at US FCMs

    The total amount of customer funds in futures accounts at US FCMs reached a record $395.7 billion in June, up 1.4% from the previous month and up 24.1% over the last 12 months. The number of FCMs holding customer funds in futures accounts was recorded at 50 in June, up from 49 year ago but down from 53 five years ago.

    CONTINUE READING

  • FIA responds to ESMA consultation on margin transparency requirements

    FIA has responded to the European Securities and Markets Authority’s consultation on margin transparency requirements, urging the regulator not to mandate overly prescriptive requirements for clearing member firms, particularly those that do not apply their own margin models but simply pass through clearinghouses’ margin requirements to clients. 

    CONTINUE READING

  • FIA cautions ESMA on overly prescriptive margin transparency rules for clearing firms

    FIA has responded to the European Securities and Markets Authority’s consultation on margin transparency requirements, urging the regulator not to mandate overly prescriptive requirements for clearing member firms, particularly those that do not apply their own margin models but pass through clearinghouses’ margin requirements to clients. 

    CONTINUE READING

  • FIA responds to SEBI closing auction session proposal

    FIA has submitted comments to the Securities and Exchange Board of India on its proposal to introduce a closing auction session in the equity cash segment. FIA welcomes SEBI’s initiative as an important step in bringing India’s market structure closer to global best practices.

    CONTINUE READING

  • FIA responds to SEBI consultation on restructuring of indices with derivatives contracts

    FIA has submitted its response to the Securities and Exchange Board of India’s consultation on the implementation of eligibility criteria for derivatives on non-benchmark indices, which aim to prevent concentration of derivatives indices in a few stocks. FIA supports Alternative B, which allows existing indices to transition through reweighting and constituent adjustments, rather than requiring the creation of entirely new indices.

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Read All Operational & Technology Guidance