This Special Report is the third in the FIA and FIA Europe’s series covering specific areas of the European Securities and Markets Authority’s (“ESMA”) consultation process for the implementation of the recast Markets in Financial Instruments Directive (“MiFID II”) and Regulation (“MiFIR”).
CONTINUE READING9 June, 2014—This Special Report is the second in the FIA and FIA Europe’s series covering specific areas of the European Securities and Markets Authority’s consultation process for the implementation of the recast Markets in Financial Instruments Directive (“MiFID II”) and Regulation (“MiFIR”).
CONTINUE READINGWalt Lukken, President and CEO of FIA, issued a statement today congratulating the new Commissioners and Chairman of the Commodity Futures Trading Commission.
CONTINUE READING3 June 2014 - On 22 May 2014, the European Securities and Markets Authority (“ESMA”) published a Discussion Paper (ESMA/2014/548) and Consultation Paper (ESMA/2014/549), which together herald the launch of its consultation process for the implementation of the recast Markets in Financial Instruments Directive (“MiFID II”) and Markets in Financial Instruments Regulation (“MiFIR”).
CONTINUE READINGFIA Europe, together with GFMA and ISDA, has issued a letter to the Head of Unit at DG Energy, expressing concerns regarding REMIT reporting regime.
CONTINUE READINGIn response to the establishment of the IOSCO Task Force, which was charged with the responsibility of developing a 'tool kit' for cross-border regulatory approaches and considering the need for implementation guidance, an international group of financial service trade associations, investment banks, brokerage houses and market infrastructure operators came together to establish the Cross-Border Regulation Forum (CBRF) for the specific purpose of providing joint industry input into the work of the Task Force.
CONTINUE READINGThis document, first issued in February 2012, has been prepared by members of the FIA Law and Compliance Division and contains questions and answers addressing the basics of (i) segregation, collateral management and investments, (ii) minimum financial and other requirements for futures commission merchants (FCMs) and joint FCM/broker-dealers, and (iii) derivatives clearing organization (DCO) guarantee funds.
CONTINUE READINGFIA today issued an updated guide to the rules and regulations relating to customer fund protections in the U.S.
CONTINUE READINGThe Commodity Futures Trading Commission's Global Markets Advisory Committee held a meeting on May 21 to discuss cross-border regulatory issues.
CONTINUE READINGThe Commodity Futures Trading Commission's Global Markets Advisory Committee held a meeting on May 21 to discuss cross-border regulatory issues.
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