Publications & Filings
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FIA PTG opposes latest Consolidated Audit Trail funding proposal
In a letter filed with the SEC today, the FIA Principal Traders Group (FIA PTG) urged the Commission not to approve the amended Consolidated Audit Trail (CAT) funding proposal.
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FIA PTG supports Cboe voluntary compression service for market makers
In a letter filed with the SEC today, the FIA Principal Traders Group (FIA PTG) supported the Cboe's Proposal to add another compression tool.
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FIA comments on the implementation of Basel standards
On 30 April 2021, FIA submitted a response to the UK Prudential Regulation Authority (PRA) consultation on the implementation of Basel standards (CP5/21).
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FIA and ISDA respond to European Commission's consultation on FRANDT requirements
FIA and ISDA responded to the European Commission (EC)’s consultation on the draft Delegated Act and accompanying Annex to specify the conditions under which the commercial terms for clearing services for OTC derivatives are to be considered to be fair, reasonable, non-discriminatory and transparent (FRANDT).
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FIA and ISDA response to the European Commission’s ‘Roadmap’ consultation on CSDR
FIA and ISDA on 4 April 2021 submitted a response to the European Commission’s ‘Roadmap’ consultation on the review of CSDR.
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FIA responds to ESMA consultation paper on algorithmic trading under MiFID II/MiFIR
On 12 March, FIA responded to ESMA consultation paper MIFID II/MIFIR review report on Algorithmic Trading. FIA’s response reflects the views of FIA exchange and clearing members and trading venue members, in relation to exchange-traded derivatives.
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Joint trades letter to the EC regarding implementation of the CSDR Settlement Discipline Regime
On 11 March 2021, FIA and 14 trade associations representing a wide range of stakeholders in the European and global financial markets wrote to the European Commission and ESMA raising concerns about the implementation of the mandatory buy-in requirement under the EU’s CSDR Settlement Discipline Regime.
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FIA responds to IOSCO consultation on market data
On 26 February, FIA responded to an International Organization of Securities Commissions (IOSCO) consultation on access to market data in secondary equity markets.
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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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