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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 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

  • Trends in ETD Trading: Year in Review

    FIA’s quarterly review of ETD volume and open interest spotlights top trends in trading activity in the global listed derivatives markets over the course of 2025, with expert insights from Morgan Stanley's Erin Perzov and Reed Staub. The discussion covers such topics as the explosive growth in precious metals trading, institutional use of short-duration options, and the double-digit growth in open interest in government debt futures in Europe, Asia-Pacific, and the US. CONTINUE READING

  • 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
Read All Regulatory Guidance

Operational and Technology Guidance

  • 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

  • Trends in ETD Trading: Year in Review

    FIA’s quarterly review of ETD volume and open interest spotlights top trends in trading activity in the global listed derivatives markets over the course of 2025, with expert insights from Morgan Stanley's Erin Perzov and Reed Staub. The discussion covers such topics as the explosive growth in precious metals trading, institutional use of short-duration options, and the double-digit growth in open interest in government debt futures in Europe, Asia-Pacific, and the US. CONTINUE READING

  • 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
Read All Operational & Technology Guidance