Regulatory Guidance
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FOA meeting with NCAs on segregation & portability
FOA meeting with NCAs on segregation & portability
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FOA releases EMIR implementation workshop documentation
FOA releases EMIR implementation workshop documentation
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FOA respond to IOSCO's report on Recommendations Regarding the Protection of Client Assets
FOA respond to IOSCO's report on Recommendations Regarding the Protection of Client Assets
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FIA issues guidance on systems and controls for electronic trading environments
This document supports and seeks to provide more detailed guidance on the implementation of, amongst other things, the ‘Guidelines on systems and controls in an automated trading environment’ (ESMA Guidelines).
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FIA issues model disclosure form to assist FCMs in complying with CFTC regulation 1.71
On July 13, the FIA issued a model disclosure form to assist futures commission merchants in complying with Regulation 1.71, a Commodity Futures Trading Commission rule that establishes information barriers between FCMs and affiliated swap dealers and major swap participants and requires FCMs to disclose to their customers conflicts of interest in the provision of trade execution or clearing services.
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FOA Respond to A New approach to Financial Regulation: The Blueprint for Reform (Cm8083)
FOA Respond to A New approach to Financial Regulation: The Blueprint for Reform (Cm8083)
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FOA Response to Change to guidance: reporting of on exchange derivative transactions conducted through exchange platforms
FOA Response to Change to guidance: reporting of on exchange derivative transactions conducted through exchange platforms
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