The US Commodity Futures Trading Commission and the US Securities and Exchange Commission held their first-ever joint public meeting on 22 October.
CONTINUE READINGIf you are an experienced user of FIA legal opinions, new to the world of FIA netting and other legal opinions for regulatory capital purposes or just curious as to why FIA maintains a library of legal opinions, then this FIA webinar where experts from Clifford Chance LLP and FIA explain the types of legal opinions that FIA maintains, their structure and purpose in the context of regulatory capital requirements is for you.
CONTINUE READINGThe US Commodity Futures Trading Commission finalized a rule amending certain compliance requirements for commodity pool operators under Commission Regulation 4.27 by a 5-0 vote during an open meeting on 6 October.
CONTINUE READINGTransitional relief is not given in some key areas, however, including MiFID II, EMIR and SFTR reporting obligations and MAR requirements.
CONTINUE READINGFIA President and CEO Walt Lukken today made the following statement in reaction to the EC and ESMA decisions to formally grant temporary equivalence and recognition for clearinghouses based in the UK, which allow them to continue to provide clearing services in the EU at the end of the transition period between the EU and the UK.
CONTINUE READINGThe response focuses on a few specific proposed requirements that FIA's UK-based investment firm members have identified as problematic or needing further clarification.
CONTINUE READINGIn a letter submitted to the SEC today, the FIA Principal Traders Group responded to the amended proposal recently filed by the Exchange.
CONTINUE READINGIn a letter submitted to the SEC today, FIA PTG supported the Cboe’s proposal to add an electronic compression component to its existing compression forum.
CONTINUE READINGFIA EPTA appreciates the opportunity to provide feedback to the Financial Conduct Authority (FCA) on its Discussion Paper regarding the implementation of the new UK prudential regime for MiFID investment firms. Market making and liquidity provision (also referred to as principal trading or dealing on own account) is a distinct activity that is undertaken by non-systemic investment firms rather than banks, in a highly dispersed and varied ecosystem of independent Principal Trading Firms.
CONTINUE READINGLondon, 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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