Publications & Filings
-
FIA responds to EBA-ESMA review of the prudential framework for investment firms
FIA responded to the EBA-ESMA discussion paper on the European Commission call for advice on the investment firms' prudential framework, noting the importance of ensuring EU IFR/D is fit for purpose and that the application of prudential rules to commodity firms would be inappropriate, unduly complex, disproportionate and limit market entry for many small-size market participants.
CONTINUE READING -
FIA responds to SEBI consultation on strengthening the index derivatives market
FIA supports the underlying intent of SEBI's measures and offers several suggestions to enhance the proposals.
CONTINUE READING -
FIA urges US Treasury Department to remain technology-neutral on AI
FIA's letter suggested Treasury focus on the applications of artificial intelligence within the context of a particular use case as opposed to the technology as a whole.
CONTINUE READING -
FIA responds to FICC rules implementing the US Treasury clearing mandate
FIA responded to the Fixed Income Clearing Corporation’s (FICC) proposal to implement the SEC’s new clearing mandate for US Treasurys. FIA’s letter urges FICC to provide flexibility for market participants to clear US Treasurys at multiple clearinghouses, as they may arise in the future.
CONTINUE READING -
FIA calls for DORA supervisory guidance ahead of January 2025 application deadline
FIA, together with five other trade associations, has co-signed a joint statement that draws the European Supervisory Authorities’ attention to the challenges that industry participants, including financial entities as well as ICT third-party service providers, are facing regarding the implementation of DORA by the 17 January 2025 deadline.
CONTINUE READING -
FIA responds to ASX proposals on position reporting framework and operating rules
FIA has submitted a response to ASX’s consultation paper on proposed changes to the position reporting framework and a review and update of operating rules for ASX 24 and ASX Clear (Futures).
CONTINUE READING -
FIA CEO testifies at House Agriculture Committee hearing
Walt Lukken, President and CEO of FIA, testified today at a US House Agriculture Committee subcommittee hearing on reauthorizing the Commodities Futures Trading Commission (CFTC).
CONTINUE READING -
FIA and FIA PTG support another legal challenge to US FTC rule banning noncompete agreements
FIA and the FIA Principal Traders Group along with several other financial services trade associations filed an amicus brief in a third case involving the US Federal Trade Commission’s final rule that would ban nearly all noncompete agreements in the US.
CONTINUE READING -
FIA releases best practices for automated trading risk controls and system safeguards
This paper consolidates our previous work and covers best practices in pre-trade risk management, exchange volatility control mechanisms, post-trade analysis and exchange-based conformance testing, among other areas. These practices are designed to help ensure that markets operate safely, regardless of the technology used.
CONTINUE READING -
FIA responds to CDCC consultation on skin in the game
FIA and ISDA have responded to a consultation from the Canadian Derivatives Clearing Corporation on rule changes regarding skin in the game.
CONTINUE READING
