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Customer Protection / Segregation

  • July 21, 2015 • FIA, Clearing, Customer Protection \ Segregation, Trading

    FIA urges Labor Department to revise fiduciary definition in ERISA proposal

    The U.S. Department of Labor’s proposed re-definition of the term “fiduciary” in the Employee Retirement Income Security Act of 1974 (ERISA) is so broad that it could be interpreted to capture services provided by futures commission merchants and prevent them from executing trades for pension plans, FIA said in a July 21 letter.

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  • May 11, 2015 • FIA, Capital, Clearing, Customer Protection \ Segregation, EMIR, Recordkeeping and reporting, Press Releases

    Puleston Jones' keynote address at FOW Post-Trade event

    FIA Europe CEO, Simon Puleston Jones delivered a keynote address at FOW Post-trade event in London on 11 May. His remarks, as prepared for delivery, follow:

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  • March 25, 2015 • FIA, Customer Protection \ Segregation, Dodd Frank, Press Releases

    FIA chairman testifies on CFTC reauthorization at House Agriculture Subcommittee Hearing

    FIA Chairman Gerald F. Corcoran testified on reauthorization of the Commodity Futures Trading Commission before the House Agriculture Subcommittee on Commodity Exchanges, Energy, and Credit today.

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  • March 18, 2015 • FIA, Customer Protection \ Segregation, Press Releases

    FIA commends CFTC for revising its policy on Residual Interest

    FIA released a statement today in support of a CFTC final rule affecting certain procedural requirements for how futures commission merchants and their customers meet margin requirements.

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  • January 15, 2015 • FIA, Capital, Clearing, Customer Protection \ Segregation, Trading

    InfoNet 2014

    The state of the Industry. Stuck in the mire or looking ahead to new opportunities?

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  • January 15, 2015 • FIA, Europe, Capital, Customer Protection \ Segregation

    InfoNet 2014 - The state of the Industry. Stuck in the mire or looking ahead to new opportunities?

    This edition of InfoNet explores whether the industry is stuck in the mire or looking ahead to new opportunities. It inlcudes reports on three panel sessions covering the connectivity of global markets, the cost of compliance, and the current state of the industry, an interview with Nigel Foster, former Global Head of Derivatives at BlackRock and Head of all market facing activities, and a roundtable on collateral management.

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  • December 17, 2014 • FIA, Customer Protection \ Segregation

    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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  • November 25, 2014 • FIA, Customer Protection \ Segregation, Operational and Regulatory Guidance, Press Releases, Regulatory Guidance

    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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  • September 16, 2014 • FIA, Cross Border, Customer Protection \ Segregation, Dodd Frank

    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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  • June 17, 2014 • FIA, Customer Protection \ Segregation, Dodd Frank, Trading

    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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