Customer Protection / Segregation
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InfoNet 2014
The state of the Industry. Stuck in the mire or looking ahead to new opportunities?
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FIA backs CFTC's proposed residual interest amendment
FIA filed a comment letter with the Commodity Futures Trading Commission on Dec. 17, 2014 expressing its support for the CFTC's proposed amendment to its residual interest requirements.
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FIA issues fourth version of guide to Customer Fund Protections
WASHINGTON, D.C., Nov. 25, 2014—FIA today issued an updated version of its guide to the rules and regulations relating to customer fund protections in the U.S.
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Washington Watch September 2014
On June 24, the House of Representatives passed H.R. 4413, the Customer Protection and End User Relief Act, a bill to reauthorize the Commodity Futures Trading Commission through September 2018 and modify certain authorities of the CFTC within the Commodity Exchange Act
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News Briefs June 2014
On April 3 James Giddens, the bankruptcy trustee overseeing the liquidation of MF Global Inc., announced a final distribution of assets he expects will fully satisfy all claims of former MF Global customers.
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End-Users Discuss Concerns at CFTC Roundtable
The Commodity Futures Trading Commission held a roundtable on April 3 to give energy companies, asset managers and other end-users a chance to vent their frustration with a number of Dodd-Frank requirements that affect their ability to use the futures and swaps markets.
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FIA issues updated guide to customer fund protections
FIA today issued an updated guide to the rules and regulations relating to customer fund protections in the U.S.
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Protection of customer funds - frequently asked questions
This document, first issued in February 2012, has been prepared by members of the FIA Law and Compliance Division and contains questions and answers addressing the basics of (i) segregation, collateral management and investments, (ii) minimum financial and other requirements for futures commission merchants (FCMs) and joint FCM/broker-dealers, and (iii) derivatives clearing organization (DCO) guarantee funds.
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FIA issues statement on H.R. 4413, CFTC Reauthorization Bill
FIA today issued the following statement in response to the House Agriculture Committee’s voice vote on H.R. 4413, a bill which reauthorizes the Commodity Futures Trading Commission through September 2018.
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