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How generative AI is transforming risk management for clearing brokers in derivatives markets
The rapid development of artificial intelligence is spurring many firms in the global derivatives markets to look for ways to deploy this new technology. In this article, executives from two technology companies point to risk management as an area where AI can have a transformative impact. In their view, AI can improve the ability of clearing brokers and their clients to analyze market data more efficiently and manage risks more effectively. They see AI as "the risk manager's assistant", sifting through thousands of data points to find potential issues. They also cite a specific example of a clearing broker that is deploying AI in risk management and using it to proactively identify risk before it materializes.
CONTINUE READINGFIA announces 2025 Hall of Fame inductees
FIA has announced the names of six new members of the FIA Hall of Fame. The new members will be honored at an awards ceremony during FIA's 50th International Futures Industry Conference in Boca Raton, Florida, on 9-12 March 2025.
CONTINUE READINGPeople News – October/November 2024
Read the latest appointments and promotions in the derivatives industry .
CONTINUE READINGSeptember 2024 stats on customer funds held at US FCMs
The total amount of customer funds in futures accounts at US FCMs reached $340.4 billion in September, up 1.2% from the previous month and up 5.8% over the last 12 months. The number of FCMs holding customer funds in futures accounts was recorded at 50 in September, up from 46 year ago but down from 55 five years ago.
CONTINUE READINGCommodities Enforcement Trends and Developments
The U.S. Department of Justice (DOJ) and Commodity Futures Trading Commission (CFTC) are highly focused on commodities enforcement investigations and actions alleging market manipulation, spoofing, insider trading, breach of fiduciary duty, and fraud. Former senior DOJ prosecutors who led commodities enforcement investigations will highlight recent trends and developments in commodities enforcement actions and prosecutions, the statutes and enforcement tools used by the government, how legal theories have evolved, and best practices to mitigate risk.
CONTINUE READINGOctober 2024 SEF trading activity
Trading volume on swap execution facilities reached $1.37 trillion in average notional value per day during October 2024, the third highest daily average for any month so far. This was down 15.2% from the previous month but up 4.8% from the same month of the previous year. Compared to September 2024, trading was down in every category except for the FRA sector.
CONTINUE READINGTrends in ETD Trading Q3 2024
FIA’s quarterly review of volume and open interest on derivatives exchanges worldwide. This webinar will provide insights into trends in trading activity in the global listed derivatives markets for the year to date. Areas of focus will include equity index derivatives in India, the US and Europe, interest rate futures and options in the US and Europe, and commodity futures and options in Europe, APAC and the US.
CONTINUE READINGFIA PTG Responds to Brazilian Equity Market Structure Consultation
FIA Principal Traders Group (FIA PTG) joined the FIA European Principal Traders Association (FIA EPTA) in responding to the Comissão de Valores Mobiliários' (CVM - Brazil's securities and exchange commission), public call for contributions to the regulatory discussion involving equity market structure in Brazil.
CONTINUE READINGDouble Trouble (or More): Effectively Navigating Parallel Investigations
Market participants subject to enforcement investigations by the CFTC are increasingly having to deal not only with a single investigation, but also parallel investigations by the Department of Justice, non-U.S. regulators (such as in the UK, Asia, and Middle East), and sometimes the financial exchanges and other SROs. Parallel investigations present unique challenges for the target or subject, including in dealing with timing, production of information, testimony, whistleblowers, presentations, and potential resolutions – whether in the areas of market manipulation and other disruptive trading, anti-corruption, sanctions, or others. This is made all the more complicated when dealing with cross-border investigations. The team from Morgan Lewis—including a former chief of the Fraud Section and a leader of the Market Integrity & Major Frauds Unit—will address these challenges as evidenced in recent enforcement actions, and provide useful insights into approaches for navigating parallel investigations, in the U.S. and cross-border, to minimize risk and maximize the prospects for success.
CONTINUE READINGFIA shares its position on DORA subcontracting of ICT services with the European Commission and ESAs
FIA has shared its position with the European Commission and the European Supervisory Authorities on the requirements for the subcontracting of ICT services under the Digital Operational Resilience Act (DORA).
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