FOA Response to Financial sector resolution: broadening the regime (Cm8419)
CONTINUE READINGJanuary - June 2012 Volume Trends
CONTINUE READINGFOA response to ESMA Consultation Paper on Draft Technical Standards for Regulation of OTCs, CCPs and Trade Repositories
CONTINUE READINGOn July 13, the FIA issued a model disclosure form to assist futures commission merchants in complying with Regulation 1.71, a Commodity Futures Trading Commission rule that establishes information barriers between FCMs and affiliated swap dealers and major swap participants and requires FCMs to disclose to their customers conflicts of interest in the provision of trade execution or clearing services.
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 the Discussion Paper on Draft Regulatory Technical Standards on Risk Mitigation for OTC Derivatives, CCPs and Trade Repositories
CONTINUE READINGFOA Response to CP12/7: Financial Services Compensation Scheme: changes to the Compensation sourcebook
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.
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