Publications & Filings
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Resources regarding separate accounts of the same beneficial owner
March 31, 2021, is the deadline specified in the CFTC’s Supplemental Advisory and Time-Limited No-Action Relief Letter 20-28 (“NAL 20-28”) for Futures Commission Merchants (“FCMs”) and their clients to take certain steps with respect to margining of separate accounts with the same beneficial owner and related agreements.
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FIA comments on UK prudential regime for investment firms
FIA has submitted a response to the FCA consultation paper 20/24 on a new UK prudential regime for investment firms.
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FIA, FIA EPTA and ISDA offer joint response to the European Commission targeted consultationon the CSDR reviw
On 2 February 2021, ISDA, FIA and FIA EPTA submitted a joint response to the European Commission’s (EC) targeted consultation on the review of the settlement and central securities depositories regulation (CSDR).
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FIA responds to ESMA on market data
FIA responded to the ESMA Consultation Paper on draft guidelines on the MiFID II/MiFIR obligations on market data from the perspective of market data users.
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FIA comments on accessing and using wholesale market data
FIA responded to the FCA Call for Input on focused on the topic of market data from the market data users’ perspective and has been drafted with exchange-traded derivatives.
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FIA comments on SEC’s proposed order permitting portfolio margining of cleared swaps and security-based swaps
FIA filed comments supporting the Securities and Exchange Commission’s proposed order granting conditional exemptions for the portfolio margining of cleared swaps and security-based swaps that are credit default swaps (CDS).
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Associations send letter to Commission on DTO equivalence
On December 9, FIA, ISDA and six other trades associations (the Association for Financial Markets in Europe, the Alternative Investment Management Association, the European Banking Federation, Electronic Debt Markets Association Europe, the European Venues and Intermediaries’ Association and the asset management group of the Securities Industry and Financial Markets Association) sent a letter requesting that the European Commission recognize the equivalence of UK trading venues for the purposes of the derivatives trading obligation before the end of the Brexit transition period.
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FIA submits response to FCA Consultation Paper on its approach to international firms (CP20-20)
On 27 November, FIA responded to the UK Financial Conduct Authority’s consultation on its approach to international firms.
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FIA and GFMA comment on China’s draft Personal Information Protection Law
FIA and GFMA wrote in support of a draft law in China to establish reasonable and proportionate mechanisms to safeguard personal information.
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FIA and ISDA respond to ESMA's "Draft Guidelines on common procedures and methodologies on supervisory review and evaluation process of CCPs under Article 21 of EMIR"
FIA and ISDA have responded to ESMA’s consultation on their “Draft Guidelines on common procedures and methodologies on supervisory review and evaluation process of CCPs under Article 21 of EMIR”.
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