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).
CONTINUE READINGFOA response to ESMA Consultation Paper on Draft Technical Standards for Regulation of OTCs, CCPs and Trade Repositories
CONTINUE READINGThe Commodity Futures Trading Commission hosted a lengthy discussion of high-frequency trading at a public meeting of its Technology Advisory Committee on June 20.
CONTINUE READINGFOA response to the EBA Discussion Paper on Draft Regulatory Technical Standards on the Capital Requirements for CCPs Under the Draft Regulation on OTC Derivatives, CCPs and Trade Repositories
CONTINUE READINGFOA Response to ESMA's Discussion Paper on Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories
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 READINGFOA response to Guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities
CONTINUE READINGThe FIA Information Technology Division brought together a panel of expert practitioners on Sept. 1 to discuss high-frequency trading, explore common misperceptions about its impact on the exchange-traded markets, and explain its role in providing liquidity.
CONTINUE READINGThe FIA on July 28 submitted a comment letter to the Commodity Futures Trading Commission and the Securities and Exchange Commission expressing its views on certain regulatory initiatives recommended by a joint advisory committee established by the two agencies in response to the market events of May 2010, also known as the “flash crash.”
CONTINUE READINGThe FIA Principal Traders Group today released a report setting out a number of recommended risk controls for trading firms that have direct access to exchange matching engines.
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