Building on recent FIA publications, including Market Access Risk Management Recommendations (April 2010) and Recommendations for Risk Controls for Trading Firms (November 2010), this document offers a number of recommendations for executing firms to consider both in designing policies for their own brokers that handle orders electronically and in dealing with customers that access the markets through a broker’s trading platform.
CONTINUE READINGBuilding on recent FIA publications, including Market Access Risk Management Recommendations (April 2010) and Recommendations for Risk Controls for Trading Firms (November 2010), this document offers a number of recommendations for executing firms to consider both in designing policies for their own brokers that handle orders electronically and in dealing with customers that access the markets through a broker’s trading platform.
CONTINUE READINGGlobal Futures and Options Trading Climbed 11.4% in 2011
CONTINUE READINGWashington, D.C.—Feb. 29, 2012—The Futures Industry Association released two documents today to address issues related to the bankruptcy of MF Global.
CONTINUE READINGFOA response to Consultation Paper: ESMA/2011/446 – Guidelines on certain aspects of the MiFID compliance function requirements
CONTINUE READINGAs FSA knows, our members recognise the importance of an effective reporting regime which supports the FSA in meeting its statutory objectives, in particular the prevention / detection of financial crime.
CONTINUE READINGThe FIA submitted a letter to the Securities and Exchange Commission on Feb. 22 commenting on the SEC’s consolidated audit trail proposal.
CONTINUE READINGMarket Abuse Regulation and Directive - Summary of Key Points
CONTINUE READINGThe Futures Industry Association announced today that it has established a special committee to address issues related to the bankruptcy of MF Global.
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