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Advocacy

FIA advocates for open, transparent and competitive markets around the world. Our global advocacy team  works with regulators, policymakers, and the industry on the development and implementation of legislation and regulation through publications and filings.

FIA responds to SEBI consultation paper on safeguarding clients’ funds placed with stock brokers/clearing members
February 17, 2023 CONTINUE READING
FIA backs SIFMA comments on proposed FinCEN rule regarding access to beneficial ownership information
February 15, 2023 CONTINUE READING
FIA urges CFTC to codify no action relief for DCO reporting
February 13, 2023 CONTINUE READING
FIA responds to IOSCO consultation on carbon markets
February 10, 2023 CONTINUE READING

Publications & Filings

  • ETD Volume - January 2023

    Worldwide volume of exchange-traded derivatives reached 8.47 billion contracts in January, up 0.3% from December 2022 and up 39.2% from January 2022.

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  • CTA, IB or SEF?

    The webinar will cover the CFTC Division of Market Oversight SEF Advisory issued in September 2021 and related CFTC enforcement orders including last fall’s order against Asset Risk Management, and the practical implications of those actions for CTAs, IBs, and their clients.

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  • FIA responds to SEBI consultation paper on safeguarding clients’ funds placed with stock brokers/clearing members

    FIA has expressed concern that the proposed requirements could have negative effects on the timing and operational complexity of returning funds to clients, hindering CMs' ability to dynamically meet the needs of their clients.

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  • FIA submits comments to FinCEN on Beneficial Ownership Information Access and Safeguards, and Use of FinCEN Identifiers for Entities.

    FIA has submitted a letter to the Financial Crimes Enforcement Network (FinCEN) related to a proposed rule titled Beneficial Ownership Information Access and Safeguards, and Use of FinCEN Identifiers for Entities. In its comments to FinCEN, FIA noted its supports for a separate comment letter from the Securities Industry and Financial Markets Association (SIFMA) that would make the proposed rule more useful and cost-effective for FIA members who operate in futures and derivatives markets.

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  • FIA urges CFTC to codify no action relief for DCO reporting

    FIA has filed comments with the US Commodity Futures Trading Commission that respond to the pending notice of proposal rulemaking on reporting requirements for derivatives clearing organizations (DCOs).In its letter, FIA supports the CFTC’s proposal to codify no-action relief for variation margin reporting, highlighting the importance of clear rules for DCOs and their clearing members.

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  • FIA responds to IOSCO consultation on carbon markets

    FIA has responded to an International Organization of Securities Commissions (IOSCO) public consultation on recommendations for establishing sound Compliance Carbon Markets (CCMs) and on key considerations for enhancing the resilience and integrity of Voluntary Carbon Markets (VCMs).

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