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Resources

FIA works closely with member firms to develop industry-standard agreements and other documentation that all market participants can use to support their trading and clearing functions as well as ensure regulatory compliance in different jurisdictions.

FIA’s US Documentation Library contains a wide range of guidance documents and template agreements and disclosures. These include standard give-up agreements, client clearing and execution agreements, risk disclosure statements and a number of exchange-specific agreements.

FIA’s CCP Risk Review™ summarizes the rules and procedures of CCPs worldwide. Written in practical, comparative terms and incorporating key implications of applicable law where relevant, the FIA CCP Risk Review assists market participants and regulators in scrutinizing and understanding the risks relating to CCPs, for both clearing members and clients.

FIA’s European Documentation Library puts valuable legal opinions and client terms of business at your fingertips. This documentation helps you meet regulatory requirements and/or common commercial objectives such as facilitating commercial dealings or addressing areas of capital or risk.

Documentation News

  • Revised Give-Up Agreement For Review

    The FIA Law & Compliance Division’s Give-Up Subcommittee is publishing for public comment proposed changes to the International Uniform Brokerage Execution Services (“Give-Up”) Agreement. The revised agreement is targeted towards simplifying the rate amendment process for Agreements. Changes are limited in scope to those that are rate amendment related. CONTINUE READING
  • FIA New Member Profile – Qube Research & Technologies

    Qube Research & Technologies (QRT) is a global investment manager, deploying a diverse range of investment strategies across geographies, asset classes and time frames. CONTINUE READING
  • EPTA responds to FCA consultation on market risk capital requirements for investment firms

    EPTA has submitted a response to the FCA’s Engagement Paper: Market risk capital requirements for investment firms. A revised prudential framework should reflect the risk of harm posed by specialised trading firms, which do not conduct bank-like activities. CONTINUE READING
  • FIA and ISDA respond to CPMI-IOSCO consultation on general business losses

    FIA and ISDA backed CPMI-IOSCO proposals, urging clearer prescriptive treatment of FMI general business losses, stronger resources, consistent scenarios, transparency, and rejecting margin gains haircutting. CONTINUE READING
  • FIA New Member Profile – Lime Trading Corp.

    Lime Trading Corp. is a registered non-clearing FCM, providing institutional, professional and retail traders with direct market access and low-latency execution for futures trading. CONTINUE READING
  • CFTC announces new prediction markets rule process

    In his first public remarks since assuming the top position at the Commodity Futures Trading Commission, Mike Selig announced a reset of the regulatory landscape for prediction markets. CONTINUE READING