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Operational & Technology Guidance

  • December 1, 2022 • FIA, CCP Recovery and Resolution, CCP Risk, Advocacy, Clearing, Advocacy, Operational and Regulatory Guidance, Position Papers, Public Policy Submissions, Regulatory Responses

    Associations publish papers on client participation in CCP auctions and CCP auction governance

    FIA, CCP12, the European Association of CCP Clearing Houses, and ISDA, together with client associations, the FIA Principal Traders Group and the Managed Funds Association, have developed and published papers focused on client participation in a CCP default auction, governance of CCP default management processes and the role of default management groups

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  • February 10, 2021 • FIA, Compliance, Advocacy, Operational and Regulatory Guidance, Americas, Operational and Regulatory Guidance, Regulatory Guidance

    Resources regarding separate accounts of the same beneficial owner

    March 31, 2021, is the deadline specified in the CFTC’s Supplemental Advisory and Time-Limited No-Action Relief Letter 20-28 (“NAL 20-28”) for Futures Commission Merchants (“FCMs”) and their clients to take certain steps with respect to margining of separate accounts with the same beneficial owner and related agreements.

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  • September 9, 2020 • FIA, Europe, Market Conduct, Advocacy, Operational and Regulatory Guidance, Regulatory Guidance, Press Releases

    FIA releases surveillance and market abuse guidelines

    London, UK – FIA today released new guidelines to assist market participants in fulfilling obligations set by UK and European regulators in relation to surveillance and market abuse requirements.

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  • August 25, 2020 • FIA, Advocacy, Operational and Regulatory Guidance, Press Releases, Regulatory Guidance

    FIA and SIFMA AMG Release Sample Provisions for FCM Customer Agreements for Separate Accounts

    Drafted by representatives of both FIA and SIFMA AMG, the Sample Provisions are being preliminarily published by FIA and SIFMA AMG to provide all market participants with the opportunity to comment as part of the industry’s efforts to promote compliance with regulatory requirements.

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  • November 15, 2019 • FIA, Operational and Regulatory Guidance

    Borsa Italiana to support FIA execution source codes from February

    Borsa Italiana will implement a new order message tag in February that will allow participants in IDEM, its futures and options market, to indicate the type of execution method used at the point of order entry.

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  • November 12, 2019 • FIA, Video, Operational and Regulatory Guidance, Webinars

    Tag 1031 FAQ

    In December 2018 the FIA and FIA Tech published Guidelines for the Simplified FIA Execution Source Code Schema.

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  • December 7, 2018 • FIA, Operational and Regulatory Guidance, Press Releases

    FIA and FIA Tech release guidelines for the simplified execution source code

    Today, FIA together with affiliate FIA Tech, announced new technical guidelines for firms to properly identify the correct brokerage when executing and clearing exchange traded derivatives.

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  • October 5, 2018 • FIA, Operational Resilience, Operational and Regulatory Guidance, Regulatory Responses

    FIA comments on UK’s financial operational resilience discussion paper

    FIA submitted comments on 5 October to the Bank of England, Prudential Regulation Authority and Financial Conduct Authority on their discussion paper about building the UK financial systems operational resilience. 

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  • December 7, 2017 • FIA, Trading, Audio, Operational and Regulatory Guidance

    New resource - FIA Algorithmic Due Diligence Guide

    FIA’s European E-Trading Committee - in cooperation with the Managed Funds Association - have produced a template of questions for use by exchange members facilitating algorithmic trading by their clients.

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  • September 8, 2017 • FIA, MIFID II, Audio, Operational and Regulatory Guidance

    New MiFID II resource – Due Diligence Assessment of Prospective DEA Clients

    FIA's European E-Trading Committee - in cooperation with AFME, AIMA and MFA - have produced a template of questions for use by investment firms providing direct electronic access to their clients, as required under Article 22 of RTS 6.

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