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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

  • DMIST Requests Vendor Presentations on 30/30/30 Solutions

    The DMIST 30/30/30 Working Group invites service providers that offer solutions supporting implementation of the DMIST 30/30/30 Standard to present their capabilities to the Working Group. This opportunity is open to any and all service providers with such solutions—not just FIA and DMIST members. CONTINUE READING

  • FIA responds to CCIL consultation on capped member liability

    FIA submitted comments to the Clearing Corporation of India Limited's consultation on revising the capped member liability framework for Default Fund replenishment. FIA welcomed CCIL’s aim to improve transparency and predictability of members’ potential unfunded Default Fund exposure. CONTINUE READING

  • FIA New Member Profile – Hogan Lovells

    Hogan Lovells is a global law firm that advises clients in highly regulated sectors across G20 markets. Its Derivatives and Structured Products practice advises clients on both transactional and regulatory matters. The team includes dedicated derivatives lawyers based in Europe, the US and Asia, supporting cross-border activity and multi-jurisdictional regulatory compliance. CONTINUE READING

  • Regulation and Development of Event and Prediction Markets

    Presenters will first identify what event markets and prediction markets are, as well as the commonalities and the differences between the two. Next, the discussion will focus on CFTC’s regulatory authority over these markets, what constitutes (or does not) gambling and betting, and how these markets have been developing in the past several years. Finally, presenters will survey recent litigation involving the States and attempt to predict what this industry will likely look like in a few years given legal, political, market and technological developments.

    CONTINUE READING

  • FIA New Member Profile – TS Imagine

    TS Imagine is a global, multi-asset SaaS platform offering portfolio and risk management, electronic trading and prime brokerage solutions for the buy- and sell-side. Many of the world’s leading financial institutions use TS Imagine’s platform to manage their risk exposure and make better trading decisions across derivatives, equities, fixed income and other asset classes, cutting complexity and driving efficiency. CONTINUE READING

  • FIA New Member Profile – Hidden Road

    Ripple Prime (formerly known as Hidden Road) is a global non-bank prime broker registered with the CFTC as an FCM and an NFA member, and regulated as a broker-dealer by FINRA, in addition to holding regulatory licenses in the UK, Netherlands and BVI, among other jurisdictions. The company’s products include prime brokerage, clearing and financing across traditional and digital assets. In 2025, Hidden Road was acquired by Ripple and now operates under the Ripple Prime name. CONTINUE READING
Read All Regulatory Guidance

Operational and Technology Guidance

  • DMIST Requests Vendor Presentations on 30/30/30 Solutions

    The DMIST 30/30/30 Working Group invites service providers that offer solutions supporting implementation of the DMIST 30/30/30 Standard to present their capabilities to the Working Group. This opportunity is open to any and all service providers with such solutions—not just FIA and DMIST members. CONTINUE READING

  • FIA responds to CCIL consultation on capped member liability

    FIA submitted comments to the Clearing Corporation of India Limited's consultation on revising the capped member liability framework for Default Fund replenishment. FIA welcomed CCIL’s aim to improve transparency and predictability of members’ potential unfunded Default Fund exposure. CONTINUE READING

  • FIA New Member Profile – Hogan Lovells

    Hogan Lovells is a global law firm that advises clients in highly regulated sectors across G20 markets. Its Derivatives and Structured Products practice advises clients on both transactional and regulatory matters. The team includes dedicated derivatives lawyers based in Europe, the US and Asia, supporting cross-border activity and multi-jurisdictional regulatory compliance. CONTINUE READING

  • Regulation and Development of Event and Prediction Markets

    Presenters will first identify what event markets and prediction markets are, as well as the commonalities and the differences between the two. Next, the discussion will focus on CFTC’s regulatory authority over these markets, what constitutes (or does not) gambling and betting, and how these markets have been developing in the past several years. Finally, presenters will survey recent litigation involving the States and attempt to predict what this industry will likely look like in a few years given legal, political, market and technological developments.

    CONTINUE READING

  • FIA New Member Profile – Hidden Road

    Ripple Prime (formerly known as Hidden Road) is a global non-bank prime broker registered with the CFTC as an FCM and an NFA member, and regulated as a broker-dealer by FINRA, in addition to holding regulatory licenses in the UK, Netherlands and BVI, among other jurisdictions. The company’s products include prime brokerage, clearing and financing across traditional and digital assets. In 2025, Hidden Road was acquired by Ripple and now operates under the Ripple Prime name. CONTINUE READING

  • FIA New Member Profile – TS Imagine

    TS Imagine is a global, multi-asset SaaS platform offering portfolio and risk management, electronic trading and prime brokerage solutions for the buy- and sell-side. Many of the world’s leading financial institutions use TS Imagine’s platform to manage their risk exposure and make better trading decisions across derivatives, equities, fixed income and other asset classes, cutting complexity and driving efficiency. CONTINUE READING
Read All Operational & Technology Guidance