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People news – April/May 2023
Appointments, promotions and other people news in the derivatives industry
CONTINUE READINGFIA EPTA response to the FCA DP on Finance for positive sustainable change: governance, incentives and competence in regulated firms (DP23/1)
FIA EPTA welcomes the opportunity to respond to the Financial Conduct Authority (FCA) Discussion Paper (DP) on Finance for positive sustainable change: governance, incentives and competence in regulated firms (DP23/1). FIA EPTA members believe that all parts of Financial Services should contribute to the transition towards sustainable capital markets. Because of the wide variety of financial services firms and their different objectives within the trading infrastructure; FIA EPTA members believe that not a one-off approach is feasible to be workable for all.
CONTINUE READINGFIA EPTA response to the HM Treasury Consultation and Call for Evidence on the Future financial services regulatory regime for cryptoassets
FIA EPTA welcomes the opportunity to respond to the HM Treasury (HMT) Consultation and Call for Evidence on the Future financial services regulatory regime for cryptoassets. FIA EPTA members believe that the market will benefit from further clarity by regulatory bodies with a global perception. Working jointly with market participants to reduce the current void in regulation and perspective between the market and regulators and policymakers. FIA EPTA members believe that it is preferable to include cryptoassets in the existing financial services framework rather than creating a bespoke piece of legislation.
CONTINUE READINGApril 2023 stats on customer funds held at US FCMs
The total amount of customer funds in futures accounts at US FCMs reached $343.6 billion in April, down 6% over the last 12 months.
CONTINUE READINGFIA warns proposed SEC safeguarding rule may harm FCMs, advisers and customers
FIA has filed comments with the US Securities and Exchange Commission (SEC) on a proposal that would replace its existing custody rule. FIA’s comment letter highlights the proposed rule’s potential harms to Futures Commission Merchants (FCMs), registered investment advisers (RIAs) and their underlying customers.
CONTINUE READINGUS House hearing examines path forward for digital asset regulation
Two important committees of the US House of Representatives held a joint hearing on 10 May to discuss digital asset regulation, concluding with some potential next steps for both regulators and Congress to provide more clarity to the regulatory environment. The US House Committees on Agriculture and Financial Services held a joint Subcommittee hearing titled "The Future of Digital Assets: Measuring the Regulatory Gaps in the Digital Asset Markets." The Agriculture Committee has oversight over the US Commodity Future Trading Commission, while the Financial Services Committee has oversight over the US Securities and Exchange Commission.
CONTINUE READINGTrends in ETD trading activity Q1 2023
FIA's quarterly overview of trends in futures and options trading worldwide.
CONTINUE READINGFIA responds to EC consultation on REMIT
FIA, jointly with FIA EPTA and ISDA, has responded to the European Commission’s “Have your Say” on Wholesale energy markets – improving EU protection against market manipulation. This review of REMIT is being discussed by co-legislators alongside a review of the EU’s Electricity Market Design. In the response, the associations voice their concerns regarding several of the draft amendments in the legislative proposal.
CONTINUE READINGMarketVoice Podcast - Tom Callahan on creating markets for private stock
Tom Callahan, CEO of Nasdaq Private Market, discusses how NPM is bringing private companies, banks, brokers, and investors together to transact in one connected marketplace for private stock. He also talks with FIA President and CEO Walt Lukken about their days together at NYSE Euronext.
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