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Publications & Filings

  • June 29, 2022 • FIA, Recordkeeping and reporting, Advocacy, Asia-Pacific, Position Limits, Public Policy Submissions, Regulatory Responses

    FIA responds to HKEX consultation on position limits and open position reporting requirements

    FIA has responded to Hong Kong Exchanges and Clearing’s consultation on proposed changes of position limits and large open position reporting requirements.

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  • June 27, 2022 • FIA, Compliance, Advocacy, Americas, Advocacy, Public Policy Submissions

    FIA flags burdensome requirements in CFTC compliance officer reports

    FIA submitted a comment letter to the US Commodity Futures Trading Commission questioning the need for certain types of information that must be included in the annual reports filed by the chief compliance officers of firms registered with the CFTC.

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  • June 22, 2022 • FIA, Sustainable Finance, Advocacy, Press Releases, Europe, UK, Social Responsibility, Advocacy, Position Papers, Regulatory Responses

    FIA responds to UK’s call for evidence on Green Finance Strategy

    FIA has responded to the UK government’s call for evidence to support its update of the Green Finance Strategy. The response stresses the need for well-balanced, principle-based regulation that complements and encourages market innovation. It also highlights new products as a potential growth area to support the transition to a low-carbon economy.

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  • June 21, 2022 • FIA, Advocacy, Asia-Pacific, Position Limits, Public Policy Submissions, Regulatory Responses

    FIA responds to SFC consultation on Position Limit Regime changes

    FIA has responded to the Hong Kong Securities and Futures Commission’s consultation on changes to the Position Limit Regime. The response acknowledges that greater transparency can benefit the industry but stresses that benefits should be commensurate with the resources needed to meet these requirements.

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  • May 26, 2022 • FIA, Settlement Discipline, Advocacy, Europe, Advocacy, Public Policy Submissions, Regulatory Responses

    FIA responds to European Commission’s CSDR review proposal

    FIA and ISDA have submitted a joint response to the European Commission’s legislative proposal to review the Central Securities Depositories Regulation, in particular with respect to reforms of the mandatory buy-in regime (MBI) under Article 7 CSDR.

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  • May 12, 2022 • FIA, Digital Assets, Speeches and Testimony, Public Policy Submissions, Speeches and Testimony

    Statement to House Ag Committee Hearing on "Changing Market Roles: The FTX Proposal and Trends in New Clearinghouse Models"

    Prepared statement of Walter L. Lukken delivered to the US House of Representatives Committee on Agriculture at 12 May, 2022, hearing titled "Changing Market Roles: The FTX Proposal and Trends in New Clearinghouse Models"

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  • May 11, 2022 • FIA, Digital Assets, Advocacy, Advocacy, Public Policy Submissions, Regulatory Responses

    FIA submits comments to CTFC on request regarding FTX proposal on non-intermediated DCO model

    FIA has filed public comments with the US Commodity Futures Trading Commission in response to a request by FTX US Derivatives to amend its order of registration as a Derivatives Clearing Organization (DCO) and allow it to modify its existing non-intermediated model.

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  • May 2, 2022 • FIA, CCP Recovery and Resolution, CCP Risk, Advocacy, Clearing, Advocacy

    FIA joins response to FSB and CPMI-IOSCO on CCP recovery and resolution

    FIA, along with the International Swaps and Derivatives Association and the Institute of International Finance have commented on CCP recovery and resolution issues in response to a consultation paper published by the Financial Stability Board, the Committee on Payments and Market Infrastructures of the Bank for International Settlements and the International Organization of Securities Commissions.

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  • April 11, 2022 • FIA, Customer Protection \ Segregation, Advocacy, Americas, Public Policy Submissions

    FIA requests CFTC codify no-action relief for treatment of separate accounts by FCMs

    FIA has written a letter to the US Commodity Futures Trading Commission requesting codification of no-action relief initially set forth in CFTC Letter No. 19-17, Advisory and Time-Limited No-Action Relief with Respect to the Treatment of Separate Accounts by Futures Commission Merchants, and subsequently extended in CFTC Letter Nos. 20-28 and 21-29.

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  • March 31, 2022 • FIA, CCP Risk, Advocacy, Europe, Clearing, EMIR

    FIA responds to ESMA consultation on margin procyclicality

    FIA has responded to a consultation published by the European Securities and Markets Authority (ESMA) seeking input on the current calibration of the antiprocyclicality tools, and whether proposed revisions to existing Regulatory Technical Standards (RTS) may be necessary.

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