Publications & Filings
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Expo 2025 Opening Remarks: Unlocking innovation – A force multiplier for our markets
Opening remarks of Walt Lukken, President and CEO of FIA, at the 2025 Futures & Options Expo in Chicago. As prepared for delivery.
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Protection of customer funds - frequently asked questions
This document, first issued in February 2012, has been prepared by members of the FIA Law and Compliance Division and contains questions and answers addressing the basics of (i) segregation, collateral management and investments, (ii) minimum financial and other requirements for futures commission merchants and joint FCM/broker-dealers, and (iii) derivatives clearing organization guarantee funds.
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FIA responds to ASIC consultation on market integrity rules
FIA has submitted a response to the Australian Securities & Investments Commission's Consultation Paper 386 on proposed amendments to the ASIC market integrity rules for trading systems and automated trading.
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Trade associations urge EC to delay EMIR 3.0 reporting for third-country CCPs
FIA, along with nine other trade associations, seek delay to EMIR 3.0 7(d) reporting until the corresponding regulatory technical standards and implementing technical standards are applicable.
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FIA comments on draft amendments of the PRC Enterprise Bankruptcy Law
FIA recommends involving the China Securities Regulatory Commission alongside other authorities when determining the scope of qualified financial transactions, and ensuring equal legal protection for similar products regardless of where they are traded, cleared or settled. FIA also proposes adding a new article providing clear recognition and protection for financial market infrastructure operators.
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FIA responds to request for comment from TMX on ongoing information requirements for approved participants
In responding to proposed rule changes from TMX, FIA expresses support for the larger project underway to revise TMX's Approved Persons framework and voices concerns about the burden associated with the most recent proposed rule changes.
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FIA responds to EBA consultation on non-ICT third-party risks
FIA has responded to the European Banking Authority’s consultation on third party risk management for non-ICT services. In the response, FIA highlights issues for consideration by the EBA for the guidelines to more proportionately enhance third party oversight in the EU financial sector landscape.
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FIA comments on ICE's US Treasury clearing proposal
FIA filed comments with the US Securities and Exchange Commission responding to ICE Clear Credit's proposed US Treasury clearing rules. The letter commends ICC for its efforts to expand its clearing services to the U.S. Treasury market and recommends refinements to certain aspects of the proposed rules to ensure predictability and clarity for clearing firms and market participants that will participate on ICC's platform, once approved.
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FIA responds to ECB consultation on extension of T2 operating hours
FIA appreciates the opportunity to provide feedback to the European Central Bank (ECB) Consultation Paper on the extension of T2 (formerly TARGET 2) operating hours. In the short term, FIA Members suggest moving to a 23 hours / 5 days a week T2 payment settlement model for use on a voluntary basis, with the T2 closing window being reduced to one hour.
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FIA asks CFTC to sunset swaps large trader reporting rules
FIA submitted a petition to the Commodity Futures Trading Commission to sunset its Part 20 regulations for large trader reporting for physical commodity swaps. Issued in 2011 as a temporary swaps data collection measure, the CFTC has since established a comprehensive reporting regime for swaps through a series of rulemakings that has rendered the Swaps LTR Rules redundant and unnecessary.
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