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Law & Compliance Division

The division 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 futures and cleared swaps community.

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The division discusses issues with U.S. and International regulators and exchanges and prepares comment letters, position papers, and court briefs when appropriate. Over 600 industry professionals are members of the division.

Division members address industry issues through conferences, meetings and regular luncheons in Chicago and New York. The FIA Law & Compliance Division sponsors a two-day conference each spring which attracts more than 700 industry participants and representatives from regulatory agencies to discuss current legal and compliance issues.

  • Division Events

News

  • FIA publishes risk disclosure template for negative contract prices

    The FIA Law and Compliance Division has published a disclosure template to assist Futures Commission Merchants that wish to deliver additional disclosures to new or existing customers in furtherance of a recent advisory from the US Commodity Futures Trading Commission regarding the risks related to negative contract prices. 

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  • FIA Law and Compliance presents: Complying with CFTC Rule 1.73 for Give-Ups Webinar A Discussion of the FIA Give-Up Screening Agreement

    The industry has been working to meet the June 1 deadline to comply with CFTC Rule 1.73 that requires executing firms to agree to screen customer orders for limits established by clearing firms with respect to give-up transactions.

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  • New L&C webinar series kicks off on Jan. 14

    The FIA Law & Compliance Division is pleased to launch the L&C Webinar Series in January 2016!

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  • FIA Law and Compliance Division releases notice to omnibus accounts regarding restrictions on exchange access for sanctioned parties

    The FIA Law and Compliance Division today published a standard notice to help firms comply with exchange rules that require clearing members to notify their omnibus customers of restrictions on access for “sanctioned parties” or similar entities under exchange rules.

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