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Member Forums

FIA’s member-based committees and working groups provide forums for partnership within the industry to respond to regulatory developments, create solutions to operational issues and address major trends. These committees and working groups, along with other ad hoc briefings, meetings and roundtables, help shape FIA’s agenda for serving its members and the wider industry.


Additionally, in the United States, FIA has three divisions: Law & Compliance, Operations Americas and Market Technology, which provide individual membership opportunities for staff in certain job functions at FIA’s member firms. These divisions organize and manage dedicated committees and working groups that focus on issues of interest to each Division’s unique membership.

Core areas of activity for FIA’s member forums include: capital, CCP risk, commodities, compliance, government relations, legal, operations, proprietary trading, regulatory, strategic issues and technology.

The make-up of each forum is determined on an issue-specific basis. Each may have participation criteria such as member type, background or job function in order to fulfill its goals.
 

The filterable list below includes all currently active committees, working groups and distribution lists. Use the filters or search for a forum based on a keyword.

Note: This list does not include FIA’s Board of Directors or its Regional Advisory Boards. In addition, it does not include the committees and working groups managed by FIA’s principal trading affiliates FIA EPTA and FIA PTG.

 

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Market Fees Committee

Operations Americas Division Americas Operations

Discusses global exchange and clearing house fee related items. These include review of exchange fee schedules, CCP reporting on fee charges, standardisation of exchange practices, and any related market fee issues.
All|Americas|Committee|Operations
FIA Contact
Don Byron
Participation Criteria
Open to all Operations Americas Division members Request Information

EUR Clearing Working Group

Europe Regulatory

Reviews and agrees the FIA advocacy position on CCP equivalence. Responds to the European Commission's industry engagement on opportunities and challenges with transferring cleared derivatives from the UK to the EU.
All|Europe|Working|Regulatory
FIA Contact
Bruce Savage
Participation Criteria
Open to all primary members Request Information

US Swaps Closeout Working Group

Legal/Compliance Americas

Identifies operational and legal processes in the closeout of US swaps customers and considers engagement with DCOs and CFTC to facilitate such closeouts.
All|Americas|Working|Legal
FIA Contact
Michael Sorrell
Participation Criteria
Available upon request Request Information

Dutch CO2 Emissions Registry Working Group

Global Operations

Considers relief for firms that hold CO2 emissions certificates from the new requirement to register with the Netherlands Chamber of Commerce.
All|Global|Working|Operations
FIA Contact
Stuart Bailey
Participation Criteria
Open to all members Request Information

COVID-19 Lessons Learned - Financial Impact of Give-up Backlog Working Group

Covid 19 Operations Lessons Learned Committee Americas Operations

Identifies tactical and/or strategic recommendations for improving the industry’s ability to process give-up trades on T+0 using the lessons learned from the backlog of give-up trades during period of the high volume/volatility during the COVID-19 time period.
All|Americas|Working|Operations
FIA Contact
Don Byron
Participation Criteria
Available upon request Request Information

FinCEN AML Proposal Working Group

Law & Compliance Division Americas Regulatory

Responds to the FinCEN “Anti-Money Laundering Program Effectiveness” advanced notice of proposed rulemaking.
All|Americas|Working|Regulatory
FIA Contact
Allison Lurton
Participation Criteria
Open to all members Request Information

Market Data Working Group

Europe Regulatory

Informs FIA's response to the FCA Call for Input on the topic of market data from the perspective of market data users. The points for discussion include the existing EU regulatory framework for and the economics of accessing market data.
All|Europe|Working|Regulatory
FIA Contact
Mitja Siraj
Participation Criteria
Open to all members Request Information

Part 39 Heightened Risk Profile Working Group

Americas

Reviewing amended CFTC Regulation 39.13(g)(8)(ii) on the establishment of minimum and increased margin levels for customers. Working with the CFTC and DCOs to implement the regulation in a practical manner for the industry.
All|Americas|Working|Regulatory
FIA Contact
Michael Sorrell
Participation Criteria
Open to all members Request Information

EO on Chinese Military Firms Working Group

Law & Compliance Executive Committee Americas Legal/Compliance

Reviews the US Executive Order “Addressing the Threat from Securities Investments that Finance Communist Chinese Military Companies” and coordinates advocacy in defining scope of order to CFTC-regulated products with US Office of Foreign Assets Control.
All|Americas|Working|Legal
FIA Contact
Allison Lurton
Participation Criteria
Open to all members Request Information

MiFID II Algo Trading Distribution List

MiFID II Algo Trading Draft Working Group Global Operations

Provides commentary on the MiFID II Algo Trading Draft Working Group response to the ESMA MiFID II Algorithmic Trading Consultation.
All|Distribution|Global|Operations
FIA Contact
Tessa Jones
Participation Criteria
Open to all members Request Information

MiFID II Algo Trading Draft Working Group

Europe Operations

Contributes to FIA’s response to the ESMA MiFID II Algorithmic Trading Consultation.
All|Europe|Working|Operations
FIA Contact
Tessa Jones
Participation Criteria
Open to all members Request Information

Market Structure Committee

Global

Addresses operational and execution trading issues for the FIA membership. Provides a forum for the exchanges and vendor firms with their members/clients through standing items updates .Also focuses on issues around, but not limited to operational resilience, cyber-security and operations and execution trading.
All|Global|Committee
FIA Contact
Tessa Jones
Participation Criteria
Open to all members Request Information

Brexit Contingency Planning Working Group

Europe Regulatory

Seeks to identify legal, regulatory, commercial, operational and other challenges relating to the execution of Brexit contingency plans by firms in the UK, EU27 and third countries. Where possible, it will also seek to agree and promote industry solutions to those challenges.
All|Europe|Regulatory|Working
FIA Contact
Mitja Siraj
Participation Criteria
Open to all members Request Information

Brussels Committee

Europe Government Relations

Exchanges information on European regulatory proposals and issues. Engages with European policymakers in group discussions on i.e. legislative proposals and provide insights on how best to pursue FIA’s advocacy efforts.
All|Europe|Committee|Government
FIA Contact
Corinna Schempp
Participation Criteria
Open to all members Request Information

CFTC Amendments to Swaps Reporting Rules Working Group

Commodities Committee US Americas Regulatory

Responds to the CFTC’s proposal to amend the swap reporting rules from the perspective of commodities firms and end users.
All|Americas|Working|Regulatory
FIA Contact
Michael Sorrell
Participation Criteria
Open to all members Request Information

CFTC Part 39 VM Reporting Working Group

Operations Americas Division Americas Regulatory

Aims to seek no-action relief from the new operational reporting requirements that were included in the recent rule. amendments of CFTC Part 39.
All|Americas|Working|Regulatory
FIA Contact
Don Byron
Participation Criteria
Open to all members Request Information

Climate Risk and Sustainable Finance Working Group

Commodities Committee US Americas Strategic

Identities and monitors climate risk and sustainability issues impacting commodities firms and derivatives market participants.
All|Americas|Working|Strategic
FIA Contact
Michael Sorrell
Participation Criteria
Open to all members Request Information

Commodities Committee US

Law & Compliance Division Americas Commodities

Identifies, monitors and addresses regulatory and compliance issues affecting commodity end users and firms that transact in the physical metals, energy and agricultural and related derivatives markets.
All|Americas|Committee|Commodities
FIA Contact
Michael Sorrell
Participation Criteria
Open to all members Request Information

Commodities Distribution List

Europe Commodities

Provides updates on developments in commodity markets related to regulation and compliance issues and on advocacy work undertaken by FIA’s Commodities Steering Committee.
All|Distribution|Europe|Commodities
FIA Contact
Christiane Leuthier
Participation Criteria
Open to all members Request Information

Government Affairs Committee

Americas Government Relations

Collaborates in developing and executing a political engagement strategy with Members of Congress, U.S. regulatory agencies and other key policymakers. Provides member firms the opportunity to highlight priorities for the group to consider and to receive timely updates from FIA staff about relevant topics.
All|Committee|Americas|Government
FIA Contact
Kyle Glenn
Participation Criteria
Open to all members Request Information

Law & Compliance Division

Americas Legal/Compliance

Monitors legal and regulatory developments affecting the futures and derivatives industry, assisting FIA in providing information to help relevant regulators and courts make decisions that affect the cleared derivatives industry.
All|Americas|Committee|Legal|Compliance|Division
FIA Contact
Allison Lurton
Participation Criteria
Open to all members Further Information

Law, Risk & Compliance Committee

Asia-Pacific Legal/Compliance

Identifies, monitors and addresses legal and regulatory developments affecting the exchange traded and centrally cleared derivatives industry across the Asia-Pacific region.
All|Asia|Committee|Legal|Compliance
FIA Contact
Min Yeo
Participation Criteria
Available upon requestRequest Information

Market Technology Division

Americas Technology

Studies how technological solutions can be used to enhance efficiency in member operations and provides a forum for discussion and knowledge-sharing.
All|Americas|Committee|Technology|Division
FIA Contact
Don Byron
Participation Criteria
Open to all members Further Information

Operations Americas Division

Americas Operations

Promotes industry cooperation and the exchange of ideas among FIA members throughout the Americas.
All|Americas|Committee|Operations|Division
FIA Contact
Don Byron
Participation Criteria
Open to all members Further Information

Operations and Technology Global Update

Global Operations

Updates on the work of the member forums focused on operations and technology.
All|Distribution|Global|Operations
FIA Contact
Don Byron
Participation Criteria
Open to all members Request Information

Operations Committee APAC

Asia-Pacific Operations

Focuses on the operational aspects of the trading and clearing of exchange-traded and centrally cleared derivatives. Aims to identify and address issues relating to minimising operational risk, increasing efficiency and improving operational systems and processes. The committee liaises with exchanges and CCPs to assist in the development of industry best practice.
All|Committee|Asia|Operations
FIA Contact
Stella Gan
Participation Criteria
Open to all members Request Information

Position Limits Working Group

Commodities Committee US Americas Regulatory

Responds to the CFTC proposal on position limits and monitors implementation of the rules.
All|Working|Americas|Regulatory
FIA Contact
Michael Sorrell
Participation Criteria
Open to all members Request Information

Proprietary Traders Committee

Asia-Pacific Proprietary Trading

Identifies, monitors and addresses compliance and regulatory developments affecting proprietary trading across the Asia-Pacific region. Members also receive updates on developments around the region and globally.
All|Committee|Asia|Proprietary
FIA Contact
Min Yeo
Participation Criteria
Open to all members Request Information

Uncleared Margin Implementation Rule Working Group

Commodities Committee US Americas Regulatory

Responds to the CFTC proposed rule(s) on implementation of uncleared margin rule for swap dealers and monitors for implementation challenges.
All|Working|Americas|Regulatory
FIA Contact
Michael Sorrell
Participation Criteria
Open to all members Request Information

CCP Risk Committee

Global CCP Risk

Works to create industry best practices, tackle individual CCP risk items, respond to international, national and CCP consultations and advocate with regulators and CCPs on behalf of clearing members.
All|Committee|Global|CCP
FIA Contact
Jackie Mesa
Participation Criteria
Available upon request Request Information

Commodities Committee APAC

Asia-Pacific Commodities

Identifies, monitors and addresses compliance and regulatory developments affecting commodity derivatives across the Asia-Pacific region. Members also receive updates on developments around the region and globally.
All|Committee|Asia|Commodities
FIA Contact
Stella Gan
Participation Criteria
Open to all members Request Information

EMIR Review Distribution List

Europe Regulatory

Discusses all EMIR related issues and consultation responses such as EMIR 2.1 REFIT, EMIR 2.2, and call for evidence.
All|Distribution|Europe|Regulatory
FIA Contact
Corinna Schempp
Participation Criteria
Open to all members Request Information

FinTech & Digital-Asset Study Group

Global Technology

Provides a forum for discussion and better understanding of innovative products and financial service solutions. Topics include machine learning, cloud computing, and blockchain, including the latest developments and trends within the digit-assets space.
All|Committee|Global|Technology
FIA Contact
Tessa Jones
Participation Criteria
Open to all members Request Information

Government Relations Committee

Europe Government Relations

Provides updates on all regulatory developments and advocacy meetings in all key focus areas of FIA (e.g. MiFID, EMIR, Commodities, Call for Evidence, CCP RR).
All|Committee|Europe|Government
FIA Contact
Corinna Schempp
Participation Criteria
Open to all members Request Information

Reporting Call Working Group

Europe Regulatory

Disseminates updates from the Reporting Working Groups, discusses advocacy efforts and highlights reporting issues on EMIR, REMIT and MiFID II.
All|Distribution|Europe|Regulatory
FIA Contact
John Graham
Participation Criteria
Open to all members Request Information

Sustainable Finance Distribution list

Europe Strategic

Distributes updates on developments relating to sustainable finance and its impact on the cleared derivatives market.
All|Distribution|Europe|Strategic
FIA Contact
John Graham
Participation Criteria
Open to all members Request Information

Chief Compliance Officer Standing Committee

Law & Compliance Division Americas Legal/Compliance

Discusses legal and compliance issues.
All|Working|Americas|Legal|Compliance
FIA Contact
Allison Lurton
Participation Criteria
Available upon request Request Information

Pledging Offshore Collateral Working Group

Financial Management Committee Americas Legal/Compliance

Reviews issues related to pledging customer collateral at UK and EU clearinghouses.
All|Americas|Committee
FIA Contact
Allison Lurton
Participation Criteria
Open to Law & Compliance and Operations America Division members Request Information

OCR Working Group

Law & Compliance Division Americas Legal/Compliance

Develop advocacy strategy for codification and revision of CFTC Ownership and Control Reporting rules and monitor for implementation.
All|Working|Americas|Legal|Compliance
FIA Contact
Allison Lurton
Participation Criteria
Open to Law & Compliance and Operations Americas Division members Request Information

Associated Persons Issues Working Group

Law & Compliance Executive Committee Americas Compliance

Explores compliance challenges related to associated persons. (e.g., location of APs, maintenance of Series 3 certifications, etc.).
All|Working|Americas|Compliance
FIA Contact
Natalie Tynan
Participation Criteria
Open to Law & Compliance Division Members Request Information

Audit Trail Steering Committee

Law & Compliance Division Americas Legal/Compliance

Pursues modifications to the CFTC and exchange rules and guidance that will streamline audit trail rules for industry -- focused on changes to regulations and technology that may be required to accommodate industry recommendations. This is a subset of the larger audit trail working group, comprised of certain of the most active group participants.
All|Committee|Americas|Legal|Compliance
FIA Contact
Natalie Tynan
Participation Criteria
Open to Law & Compliance Division Members Request Information

CFTC 20-17 Risk Management Working Group

Law & Compliance Division Americas Legal/Compliance

Reviews CFTC advisory 20-17 and considers revisions to industry standard risk customer risk disclosures to accommodate advisory.
All|Working|Americas|Legal|Compliance
FIA Contact
Michael Sorrell
Participation Criteria
Open to Law & Compliance Division Members Request Information

Foreign Security Futures Working Group

Law & Compliance Division Americas Strategic

Explores whether it may be feasible to develop a system that helps firms identify qualifying foreign security futures products under the SEC’s 2009 Order related thereto.
All|Working|Americas|Strategic
FIA Contact
Natalie Tynan
Participation Criteria
Open to Law & Compliance Division Members Request Information

Law and Compliance Member Update

Law & Compliance Division Americas Legal/Compliance

Updates Law & Compliance Division members on issues and events within the industry that the Division is working on.
All|Distribution|Americas|Legal|Compliance
FIA Contact
Michael Sorrell
Participation Criteria
Open to Law & Compliance Division members Request Information

Part 190 Steering Working Group

Law & Compliance Division Americas Regulatory

Considers and drafts the FIA response to the CFTC proposed Part 190 Rulemaking.
All|Working|Americas|Regulatory
FIA Contact
Allison Lurton
Participation Criteria
Available upon request Request Information

Audit Trail Committee

Law & Compliance Division Americas Legal/Compliance

Pursues modifications to the CFTC and exchange rules and guidance that will streamline audit trail rules for industry -- focused on changes to regulations and technology that may be required to accommodate industry recommendations.
All|Committee|Americas|Legal|Compliance
FIA Contact
Natalie Tynan
Participation Criteria
Open to Law & Compliance Division members Request Information

Legal Committee

Europe Legal

Discusses legal, regulatory, capital and other issues, as they relate to OTC and ETD derivatives clearing, which includes both CCP and client- facing aspects, as well as looking at industry standard contractual arrangements that firms need to put in place with their clients and which underpin various legal opinions that firms use to meet certain capital requirements.
All|Committee|Europe|Legal
FIA Contact
Mitja Siraj
Participation Criteria
Available upon request Request Information

Chief Compliance Officer Annual Report Resources Working Group

Chief Compliance Officer Standing Committee Americas Compliance

Focuses on a specific aspect of the CCO Annual Report which addresses estimation of resources.
All|Working|Americas|Compliance
FIA Contact
Natalie Tynan
Participation Criteria
Open to members of the Law & Compliance Chief Compliance Officer Standing Committee Request Information

Commodities Steering Committee, Europe

Europe Commodities

Receives updates on regulatory developments in European commodity markets and helps shape FIA’s commodity advocacy strategy, position papers and consultation responses.
All|Committee|Europe|Commodities
FIA Contact
Christiane Leuthier
Participation Criteria
Open to members who are commodity markets participants and trading venues Request Information

Energy and Emissions Committee

Europe Commodities

Identifies, monitors and addresses regulatory developments and day-to-day compliance issues in energy markets across Europe.
All|Committee|Europe|Commodities
FIA Contact
Christiane Leuthier
Participation Criteria
Open to members who are energy market participants Request Information

Metals Committee

Europe Commodities

Identifies, monitors and addresses regulatory developments and day-to-day compliance issues in metals markets across Europe.
All|Committee|Europe|Commodities
FIA Contact
Christiane Leuthier
Participation Criteria
Open to members who are metal market participants Request Information

CFTC Rule 1.25 Working Group

Financial Management Committee Americas Regulatory

Identifies opportunities to expand the list of permissible acceptable investments of customer segregated funds under CFTC Rule 1.25.
All|Working|Americas|Regulatory
FIA Contact
Allison Lurton
Participation Criteria
Open to Operations Americas Division members. Request Information

CFTC Rule 1.49 Working Group

Financial Management Committee Americas Legal/Compliance

Focuses on proposing revisions to CFTC Rule 1.49, Denomination of customer funds and location of depositories.
All|Working|Americas|Legal|Compliance
FIA Contact
Natalie Tynan
Participation Criteria
Open to Operations Americas Division members. Request Information

Clearing and Trade Management Committee

Operations Americas Division Americas Operations

Fosters education and understanding of practices and regulations to advocate for clarity and rule changes protecting and enhancing the integrity of the industry. Membership consists of FCMs, Settlement and Custodial Banks, Exchanges and Clearing Houses involved in the CFTC regulated futures and cleared swaps industry.
All|Committee|Americas|Operations
FIA Contact
Don Byron
Participation Criteria
Open to Operations Americas Division members. Request Information

Delivery Committee

Operations Americas Division Americas Operations

Provides industry professionals at Global FCMs and Exchanges/CCPs a forum to discuss current events and industry initiatives pertaining to trade life cycle events, specifically physical deliveries and option expiration processing.
All|Committee|Americas|Operations
FIA Contact
Don Byron
Participation Criteria
Open to Operations Americas Division members. Request Information

Due Diligence Questionnaire Working Group

Financial Management Committee Americas Strategic

Develops standardized due diligence questionnaire for use by FCMs with their depositories and carrying brokers.
All|Working|Americas|Strategic
FIA Contact
Don Byron
Participation Criteria
Open to Operations Americas Division members. Request Information

Events & Education Committee

Operations Americas Division Americas Strategic

Dedicated to educating FIA members on market fundamentals, current trends and hot topics. The committee also raises funds through annual events for the FIA Scholarship, awarded to college-bound children of FIA Division members, as well as provides opportunities to build relationships and network with like-minded individuals.
All|Committee|Americas|Strategic
FIA Contact
Don Byron
Participation Criteria
Open to Operations Americas Division members. Request Information

Exchange Fee Reconciliation & Settlement Committee

Operations Americas Division Americas Strategic

Addresses inefficiencies and pain points related to management of exchange and clearing fees associated with futures trading. Endeavors to align the industry on exchange fee priorities while sharing best practices and promoting an agenda of change, efficiency, and process scale.
All|Committee|Americas|Strategic
FIA Contact
Don Byron
Participation Criteria
Open to Operations Americas Division members. Request Information

Financial Management - Residual Interest Working Group

Financial Management Committee Americas Legal/Compliance

Seeks relief from CFTC for FCMs to withdraw excess residual interest from the customer seg account in a more timely manner than is allowed under current rules.
All|Working|Americas|Legal|Compliance
FIA Contact
Allison Lurton
Participation Criteria
Open to Operations Americas Division members. Request Information

Financial Management Committee

Operations Americas Division Americas Legal/Compliance

Monitors US regulatory issues that affect financial management (margining, settlement, investments, etc.) of FCMs and settlement banks.
All|Committee|Americas|Legal|Compliance
FIA Contact
Allison Lurton
Participation Criteria
Open to Operations Americas Division members. Request Information

Deliveries Working Group

Operations Committee Europe Europe Operations

Examines solutions to mitigate risks that clearing members face during the expiry and physical delivery of derivatives contracts.
All|Working|Europe|Operations
FIA Contact
Stuart Bailey
Participation Criteria
Open to Operations Committee Europe participants. Request Information

CCP Risk Working Group

CCP Risk Committee Europe CCP Risk

Working on developing the FIA’s Recommendations for CCP Risk Management into specific requests in terms of changes to regulation, CCP supervisor or CCPs rules and procedures. This will then be used for advocacy purposes when meeting central banks, CCP supervisors, regulatory bodies and standard setting bodies.
All|Working|Europe|CCP
FIA Contact
Stuart Bailey
Participation Criteria
Available upon request Request Information

CFTC No-Action Letter 18-26 Working Group

Law & Compliance Division Global Regulatory

Reviews CFTC no-action letter 18-26 and means for US FCMs to transfer non-cash collateral to European CCPs.
All|Working|Global|Regulatory
FIA Contact
Michael Sorrell
Participation Criteria
Available upon request Request Information

Compliance Committee

Europe Compliance

Discussion of compliance issues, regulations and to work on projects such as block trade guidance and market conduct training.
All|Committee|Europe|Compliance
FIA Contact
John Graham
Participation Criteria
Available upon request Request Information

Covid 19 Operations Lessons Learned Committee

Global Operations

Focuses on the lessons learned from the COVID-19 crisis. Identifies and analyzes lessons learned for the purpose of making tactical and strategic recommendations to the industry.
All|Committee|Global|Operations
FIA Contact
Don Byron
Participation Criteria
Available upon request Request Information

CSDR - Impact of FIA Clearing Documentation Working Group

Europe Legal

Focuses on the impacts of Central Securities Deposit Regulation on the FIA Terms of Business 2018, in particular as regards settlement discipline and requirements around buy ins.
All|Working|Europe|Legal
FIA Contact
Mitja Siraj
Participation Criteria
Available upon request Request Information

Electronic Trading Risk Principles Working Group

Americas Legal/Compliance

Coordinates FIA's response to the CFTC's Electronic Trading Risk Principles proposal.
All|Working|Americas|Legal|Compliance
FIA Contact
Michael Sorrell
Participation Criteria
Available upon request Request Information

ETrading Committee Europe

Europe Operations

Discusses key issues impacting electronically traded exchange-traded derivatives in Europe and the UK. Primarily focuses on issues related to regulation, vendor trading platforms and trading efficiency, in conjunction with working with exchanges, ISVs and other market participants to assist in the development of industry best practices.
All|Committee|Europe|Operations
FIA Contact
Tessa Jones
Participation Criteria
Available upon request Request Information

ETrading Committee US

Americas Operations

Discusses key issues impacting electronically traded exchange-traded derivatives in North America. The committee works with the European E-Trading Committee to focus on issues related to regulation, vendor trading platforms and trading efficiency, in conjunction with working with exchanges, ISVs and other market participants to assist in the development of industry best practices.
All|Committee|Americas|Operations
FIA Contact
Tessa Jones
Participation Criteria
Available upon request Request Information

FRANDT RFP template drafting Working Group

Europe Regulatory

Focuses on creating the industry standard RFP template as a solution to some of the FRANDT requirements.
All|Working|Europe|Regulatory
FIA Contact
Mitja Siraj
Participation Criteria
Available upon request Request Information

IFR K-CMG Working Group

Europe Regulatory

Discusses the impact of new EU capital requirements for investment firms (IFR) on bank and non-bank clearing clearing members.
All|Working|Europe|Regulatory
FIA Contact
Mitja Siraj
Participation Criteria
Available upon request Request Information

Netting Opinions Committee

Law & Compliance Division Americas Legal/Compliance

Develops Netting Opinions in primary jurisdictions where FCMs operate and provides periodic updates to opinions.
All|Committee|Americas|Legal|Compliance
FIA Contact
Allison Lurton
Participation Criteria
Available upon request Request Information

Surveillance Working Group

Compliance Committee Europe Regulatory

Discusses surveillance requirements set out in MAR with the aim to produce Q&As/ industry guidelines on best practices.
All|Working|Europe|Regulatory
FIA Contact
John Graham
Participation Criteria
Available upon request Request Information

Exchange Development Best Practice Working Group

Operations Committee Europe Europe Technology

Compiles a best practice document for exchanges and CCPs for when they plan and execute technology upgrades.
All|Working|Europe|Technology
FIA Contact
Stuart Bailey
Participation Criteria
Available upon request Request Information

CFTC Capital Requirements for Swap Dealers Working Group

Law & Compliance Division Americas Regulatory

Responds to the CFTC proposal on capital requirements for swap dealers and FCMs and monitors for implementation of rules.
All|Working|Americas|Regulatory
FIA Contact
Michael Sorrell
Participation Criteria
Available upon request Request Information

CFTC Part 17 Steering Committee Working Group

Law & Compliance Division Americas Legal/Compliance

Addresses concerns related to Part 17 reporting obligations.
All|Working|Americas|Legal|Compliance
FIA Contact
Natalie Tynan
Participation Criteria
Available upon request Request Information

CFTC Rule 1.73 Working Group

Law & Compliance Division Americas Regulatory

Seeks clarification and codification of FCMs' obligations in respect of pre-trade credit checks for SEF block trades.
All|Working|Americas|Regulatory
FIA Contact
Michael Sorrell
Participation Criteria
Available upon request Request Information

Cross Border Working Group

Law & Compliance Division Americas Regulatory

Focuses on commenting on the CFTC's proposed Cross-Border rules.
All|Working|Americas|Regulatory
FIA Contact
Natalie Tynan
Participation Criteria
Available upon request Request Information

FRANDT Impact on US FCMs Working Group

Law & Compliance Division Americas Regulatory

Examines impact of European Union's FRANDT Consultation on US FCMs, assists advocacy strategy in coordination with the Legal Committee, Europe, and monitors implementation of rules.
All|Working|Americas|Regulatory
FIA Contact
Michael Sorrell
Participation Criteria
Available upon request Request Information

Give-Up Agreements Committee

Law & Compliance Division Americas Strategic

Reviews and updates the FIA Standard Customer Give-Up Agreements.
All|Committee|Americas|Strategic
FIA Contact
Natalie Tynan
Participation Criteria
Available upon request Request Information

Part 39 DCO Rules Working Group

Americas Regulatory

Prepares FCM and clearing member response to CFTC proposal to amend the Derivatives Clearing Organization rules.
All|Working|Americas|Regulatory
FIA Contact
Michael Sorrell
Participation Criteria
Available upon request Request Information

EU Third-Country Framework Working Group

Law & Compliance Division Americas Regulatory

Responds to the EU consultation on third-country framework and monitors implementation of rules.
All|Working|Americas|Regulatory
FIA Contact
Michael Sorrell
Participation Criteria
Available upon request Request Information

Legal Opinions Working Group (Non US)

Europe Legal

Discusses the FIA legal opinions that cover the English law governed FIA Tems of Business, the FIA subscription model for legal opinions, as well as the existing and future advocacy efforts to promote the importance of legal certainty of close-out netting arrangements both in client clearing documentation and in CCP Rulebooks.
All|Working|Europe|Legal
FIA Contact
Mitja Siraj
Participation Criteria
Available upon request Request Information

Capital Committee

Global Capital

Identifies, monitors and addresses capital issues impacting clearing members. Responds to consultations, advocates for changes and educates policymakers and the public about the impact on clearing resulting from capital requirements.
All|Committee|Global|Capital
FIA Contact
Jackie Mesa
Participation Criteria
Available upon request Request Information

Drafting ToB Working Group

Europe Legal

Discusses and actively participates in updating the existing FIA Terms of Business (‘Regulatory Patch’), drafting the FIA Terms of Business and the User Guide with a view to creating a modern, streamlined, state-of-the-art suite of industry standard client clearing documentation for ETD and cleared OTC.
All|Working|Europe|Legal
FIA Contact
Mitja Siraj
Participation Criteria
Available upon request Request Information

EMIR Reporting Working Group

Europe Regulatory

Discusses EMIR Article 9 reporting obligations.
All|Working|Europe|Regulatory
FIA Contact
John Graham
Participation Criteria
Available upon request Request Information

MiFIR Reporting Working Group

Europe Regulatory

Discusses reporting obligations set out in MiFIR.
All|Working|Europe|Regulatory
FIA Contact
John Graham
Participation Criteria
Available upon request Request Information

Operations Committee Europe

Europe Operations

Addresses issues relating to the post-trade clearing and processing of OTC and exchange-traded derivatives. Focuses on regulatory changes which impact upon the operational aspects of derivatives clearing, CCP and vendor liaison regarding change management issues and the development of industry best practice.
All|Committee|Europe|Operations
FIA Contact
Stuart Bailey
Participation Criteria
Available upon request Request Information

SA-CCR Working Group

Americas Regulatory

Discusses US SA-CCR and problems resulting from the implementation of SA-CCR.
All|Working|Americas|Regulatory
FIA Contact
Jackie Mesa
Participation Criteria
Available upon request Request Information

Separate Account Margining under CFTC and JAC Rules Working Group

Law & Compliance Division Americas Legal/Compliance

Assists FCMs with advocacy and implementation in respect of the treatment of separate accounts owned by the same beneficial owner under CFTC and JAC rules.
All|Working|Americas|Legal|Compliance
FIA Contact
Allison Lurton
Participation Criteria
Available upon request Request Information
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