Videos
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Alicia Crighton, Goldman Sachs
A conversation on International Women's Day - Alicia Crighton is the global co-head of futures and head of the OTC and prime clearing businesses at Goldman Sachs. She also sits on a range of decision-making bodies and committees and last year was appointed FIA’s first-ever female chair of its board of directors.
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FIA PTG responds to FINRA Trading Activity Fee Proposal
In a letter filed today with FINRA, the FIA Principal Traders Group (FIA PTG) supported FINRA’s proposal to exempt from the Trading Activity Fee (“TAF”) transactions executed by proprietary trading firms (“PTFs”) on an exchange of which the firm is a member.
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Sharon Shi, GH Financials
A conversation on International Women's Day - Sharon Shi is CEO of global broker and clearing firm GH Financials. Previously she was managing director of GH Financials Hong Kong, where she was instrumental in establishing the company’s clearing business and overseeing its expansion in Asia.
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Mariam Rafi, Citi
A conversation on International Women's Day - Mariam Rafi is global head of futures, clearing and FX prime brokerage product at Citi, where she has worked for 11 years. Prior to being appointed to the global role in 2021 she was the Americas head of clearing and FX PB.
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FIA PTG responds again to FINRA proposal to add IntelligentCross ATS to the Alternative Display Facility
In a letter filed today with the Securities and Exchange Commission (SEC), the FIA Principal Traders Group (FIA PTG) again opposed a proposal to add IntelligentCross ATS as a new entrant to FINRA’s Alternative Display Facility.
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ETD Volume - January 2023
Worldwide volume of exchange-traded derivatives reached 8.47 billion contracts in January, up 0.3% from December 2022 and up 39.2% from January 2022.
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CTA, IB or SEF?
The webinar will cover the CFTC Division of Market Oversight SEF Advisory issued in September 2021 and related CFTC enforcement orders including last fall’s order against Asset Risk Management, and the practical implications of those actions for CTAs, IBs, and their clients.
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FIA responds to SEBI consultation paper on safeguarding clients’ funds placed with stock brokers/clearing members
FIA has expressed concern that the proposed requirements could have negative effects on the timing and operational complexity of returning funds to clients, hindering CMs' ability to dynamically meet the needs of their clients.
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FIA submits comments to FinCEN on Beneficial Ownership Information Access and Safeguards, and Use of FinCEN Identifiers for Entities.
FIA has submitted a letter to the Financial Crimes Enforcement Network (FinCEN) related to a proposed rule titled Beneficial Ownership Information Access and Safeguards, and Use of FinCEN Identifiers for Entities. In its comments to FinCEN, FIA noted its supports for a separate comment letter from the Securities Industry and Financial Markets Association (SIFMA) that would make the proposed rule more useful and cost-effective for FIA members who operate in futures and derivatives markets.
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FIA urges CFTC to codify no action relief for DCO reporting
FIA has filed comments with the US Commodity Futures Trading Commission that respond to the pending notice of proposal rulemaking on reporting requirements for derivatives clearing organizations (DCOs).In its letter, FIA supports the CFTC’s proposal to codify no-action relief for variation margin reporting, highlighting the importance of clear rules for DCOs and their clearing members.
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