During this discussion, James McDonald, Sullivan & Cromwell Partner, interviews Robert Zink, U.S. Department of Justice, Acting Assistant Attorney General (and Chief of the DOJ Fraud Section from January 2019 to August 2020), regarding DOJ’s enforcement priorities in the commodities and derivatives markets and white collar area more generally.
CONTINUE READINGMany of FIA EPTA’s members are clients of direct clearing members, and therefore rely on clearing members for access to financial markets. In consequence, we are supportive of the overarching objective which the Delegated Regulation on FRANDT seeks to achieve, which is to increase access to client clearing services by ensuring that clearing members provide clearing services on fair, reasonable, non-discriminatory, and transparent terms.
CONTINUE READINGFIA and ISDA responded to the European Commission (EC)’s consultation on the draft Delegated Act and accompanying Annex to specify the conditions under which the commercial terms for clearing services for OTC derivatives are to be considered to be fair, reasonable, non-discriminatory and transparent (FRANDT).
CONTINUE READINGFIA and ISDA on 4 April 2021 submitted a response to the European Commission’s ‘Roadmap’ consultation on the review of CSDR.
CONTINUE READINGThe FIA European Principal Traders Association (FIA EPTA) appreciates the opportunity to respond to HM Treasury’s consultation on the Implementation of the Investment Firms Prudential Regime and Basel 3 standards. As MiFID II investment firms our members strongly support the more proportionate prudential regime contained in the Investment Firms Prudential Regime (IFPR). FIA EPTA members agree with the Government’s proposals. Specifically, in regard to the UK resolution regime, we would strongly urge the Government to exclude FCA authorised investment firms from its scope. We hope this feedback is useful and would be delighted to provide any further input as required.
CONTINUE READINGFIA reaffirmed the current officers of the board and added James Mackenzie of TD Ameritrade Futures and Forex, LLC to the board.
CONTINUE READINGCybersecurity regulation is evolving in the commodity and derivatives markets. Multiple regulations, rules and CFTC requirements are whipsawing challenging companies, while the risk of hacking is on the rise.
CONTINUE READINGIn this webinar, a panel of experts discuss the new EU and UK prudential regimes for investment firms (EU IFR/IFD and UK IFPR).
CONTINUE READINGAdena Friedman, Nasdaq President and Chief Executive Officer discusses Nasdaq's diversity initiative during Boca-V 2021.
CONTINUE READINGAs part of Boca-V 2021 – FIA’s virtual take on the International Futures Industry Conference - our President & CEO Walt Lukken interviewed exchange leaders from around the globe for their take on key issues and developments in market access and trends, innovation, and sustainability impacting the cleared derivatives industry today.
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