Publications & Filings
-
Associations send letter to Commission on DTO equivalence
On December 9, FIA, ISDA and six other trades associations (the Association for Financial Markets in Europe, the Alternative Investment Management Association, the European Banking Federation, Electronic Debt Markets Association Europe, the European Venues and Intermediaries’ Association and the asset management group of the Securities Industry and Financial Markets Association) sent a letter requesting that the European Commission recognize the equivalence of UK trading venues for the purposes of the derivatives trading obligation before the end of the Brexit transition period.
CONTINUE READING -
FIA PTG supports Nasdaq BX proposal to reduce number of option strikes listed for trading
In a letter submitted to the SEC today, the FIA Principal Traders Group (FIA PTG) encouraged the Commission to approve Nasdaq BX's proposal to limit the number of option strikes listed for trading on the exchange.
CONTINUE READING -
FIA praises CFTC for adopting Electronic Trading and Bankruptcy rules
FIA President and CEO Walt Lukken today made a statement after the CFTC voted to finalize Electronic Trading Risk Principles and significant bankruptcy reforms for FCMs and clearinghouses, among other rulemakings.
CONTINUE READING -
Covid-19, geopolitical issues under the spotlight at FIA Asia-V
Industry experts note markets are resilient, but regulatory fragmentation remains a challenge
CONTINUE READING -
European Commission urged to issue equivalence determinations before end of transition period
On 30 November, FIA jointly with ISDA, AIMA, AFME, ICI Global, EBF and EFAMA submitted a letter recommending the European Commission to issue equivalence determinations under EMIR Art 2a before the end of the transition period, in order to ensure that EU firms can benefit from treatment similar to that available to firms established in the UK, avoiding unintended consequences that would have an impact on their risk management or investment activities.
CONTINUE READING -
FIA submits response to FCA Consultation Paper on its approach to international firms (CP20-20)
On 27 November, FIA responded to the UK Financial Conduct Authority’s consultation on its approach to international firms.
CONTINUE READING -
China opens futures markets further to outside world
Sixth international commodity futures contract launches in China as barriers are lowered for overseas investors
CONTINUE READING -
CFTC's Tarbert: Global standards for crypto and CCPs are top industry priorities
FIA's MarketVoice spoke recently with CFTC Chairman Heath Tarbert via video call to get a sense of what he has accomplished in 2020, and what he sees as the future priorities for the agency.
CONTINUE READING -
FIA supports FinCEN anti-money laundering efforts
FIA today wrote in support of the Financial Crimes Enforcement Network’s (FinCEN) efforts to update to the existing anti-money laundering (AML) regulations that would require covered financial institutions, which include FCMs, to maintain an "effective and reasonably designed" AML programs as informed by the institution's risk assessment and FinCEN’s national AML priorities.
CONTINUE READING -
FIA recommends that CFTC not adopt supplemental proposed bankruptcy rules
FIA today filed comments with the Commodity Futures Trading Commission (CFTC) cautioning the CFTC against adopting a supplemental bankruptcy proposal that would establish new rules governing the bankruptcy of Systemically Important Derivatives Clearing Organizations (SIDCOs).
CONTINUE READING
