Videos
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FIA PTG raises market access concerns with the Nasdaq Carteret data center roof
On February 12, 2021, FIA PTG submitted a letter to the SEC raising market access concerns with the wireless connectivity configuration to Nasdaq via the roof of their data center in Carteret, NJ.
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Resources regarding separate accounts of the same beneficial owner
March 31, 2021, is the deadline specified in the CFTC’s Supplemental Advisory and Time-Limited No-Action Relief Letter 20-28 (“NAL 20-28”) for Futures Commission Merchants (“FCMs”) and their clients to take certain steps with respect to margining of separate accounts with the same beneficial owner and related agreements.
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FIA letter to President Biden highlights priorities and opportunities
On behalf of FIA's membership, we wish you all the success as you begin your work as the 46th President of the United States. Policies affecting financial markets are sure to feature prominently in your agenda, particularly in light of the recent volatility in securities markets.
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FIA comments on UK prudential regime for investment firms
FIA has submitted a response to the FCA consultation paper 20/24 on a new UK prudential regime for investment firms.
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Response by FIA EPTA to the FCA Consultation Paper on a new UK prudential regime for MiFID investment firms
This document constitutes FIA EPTA’s response to the FCA’s Consultation Paper on a new UK prudential regime for MiFID investment firms (CP20/24). We very much welcome the FCA’s approach as set out in the Consultation Paper and generally agree that the FCA’s proposed rules are clear, proportionate and fit for purpose. In our response, we focus on a number of key areas where we believe further improvements or clarifications could be made to enable a proportionate, effective and practicable prudential regime for investment firms.
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FIA PTG joins over two dozen trade groups in opposing NY Stock Transfer Tax
On 3 February, FIA PTG joined over two dozen trade groups in sending letters to the New York legislature in opposition to re-imposing any form of a New York State Stock Transaction Tax (STT).
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FIA EPTA response to the EBA Discussion Paper on management and supervision of ESG risks for credit institutions and investment firms
FIA EPTA is committed to supporting policymakers in ensuring the success of the sustainable finance project at all levels of the capital market ecosystem. The consultation that the EBA has published mainly focuses on ESG risks stemming from clients and counterparties. FIA EPTA members deal with regulated parties as counterparties, perform additional screenings that may already include the necessary ESG elements, and do not have clients or manage funds, but trade on their own account and at their own risk.
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FIA, FIA EPTA and ISDA offer joint response to the European Commission targeted consultation the CSDR review
On 2 February 2021, ISDA, FIA and FIA EPTA submitted a joint response to the European Commission’s (EC) targeted consultation on the review of the settlement and central securities depositories regulation (CSDR).
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FIA EPTA, FIA and ISDA offer joint response to the European Commission targeted consultationon the CSDR reviw
On 2 February 2021, ISDA, FIA and FIA EPTA submitted a joint response to the European Commission’s (EC) targeted consultation on the review of the settlement and central securities depositories regulation (CSDR). The Associations outline their members’ concerns with regards to detrimental effects arising from the application of the CSDR mandatory buy-in regime for derivatives markets. The Associations request the European Commission and the co-legislators to clarify that the mandatory buy-in requirements of the CSDR settlement discipline regime do not apply in the context of margin transfers, physically settled derivatives and emission allowances.
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2020 annual trends in futures and options trading
2020 was a record-breaking year for trading activity in the global exchange-traded derivatives markets, with both volume and open interest reaching all-time highs.
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