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Publications & Filings

  • November 27, 2020 • FIA, Cross Border, Europe, Advocacy, Regulatory Responses

    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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  • November 16, 2020 • FIA, Americas, Advocacy, Public Policy Submissions

    FIA supports FinCEN anti-money laundering efforts

    FIA today wrote in support of the Financial Crimes Enforcement Network’s (FinCEN) efforts to update to the existing anti-money laundering (AML) regulations that would require covered financial institutions, which include FCMs, to maintain an "effective and reasonably designed" AML programs as informed by the institution's risk assessment and FinCEN’s national AML priorities.

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  • October 30, 2020 • FIA, Americas, Advocacy, Regulatory Responses

    FIA recommends that CFTC not adopt supplemental proposed bankruptcy rules

    FIA today filed comments with the Commodity Futures Trading Commission (CFTC) cautioning the CFTC against adopting a supplemental bankruptcy proposal that would establish new rules governing the bankruptcy of Systemically Important Derivatives Clearing Organizations (SIDCOs).

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  • October 13, 2020 • FIA, Capital, Europe, Advocacy, Video, Webinars

    FIA Legal Opinions Primer

    If you are an experienced user of FIA legal opinions, new to the world of FIA netting and other legal opinions for regulatory capital purposes or just curious as to why FIA maintains a library of legal opinions, then this FIA webinar where experts from Clifford Chance LLP and FIA explain the types of legal opinions that FIA maintains, their structure and purpose in the context of regulatory capital requirements is for you.

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  • September 28, 2020 • FIA, UK, Clearing, Cross Border, Europe, Advocacy, Press Releases

    FIA welcomes the decisions by EC on time-limited equivalence and ESMA on UK CCP temporary recognition

    FIA President and CEO Walt Lukken today made the following statement in reaction to the EC and ESMA decisions to formally grant temporary equivalence and recognition for clearinghouses based in the UK, which allow them to continue to provide clearing services in the EU at the end of the transition period between the EU and the UK.

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  • September 25, 2020 • FIA, Europe, Advocacy, Audio, Public Policy Submissions

    FIA responds to FCA discussion paper on new UK regulation for investment firms

    The response focuses on a few specific proposed requirements that FIA's UK-based investment firm members have identified as problematic or needing further clarification.

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  • September 9, 2020 • FIA, Europe, Market Conduct, Advocacy, Operational and Regulatory Guidance, Regulatory Guidance, Press Releases

    FIA releases surveillance and market abuse guidelines

    London, UK – FIA today released new guidelines to assist market participants in fulfilling obligations set by UK and European regulators in relation to surveillance and market abuse requirements.

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  • September 1, 2020 • FIA, Commodities, Advocacy, Social Responsibility, Sustainable Finance, Audio, Advocacy, Position Papers

    Markets need to be part of the climate change solution, says FIA

    FIA has published a new policy paper, "How derivatives markets are helping the world fight climate change," in consultation with its members across the cleared derivatives industry on climate-related risks for financial markets and the global economy. 

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  • August 25, 2020 • FIA, Advocacy, Operational and Regulatory Guidance, Press Releases, Regulatory Guidance

    FIA and SIFMA AMG Release Sample Provisions for FCM Customer Agreements for Separate Accounts

    Drafted by representatives of both FIA and SIFMA AMG, the Sample Provisions are being preliminarily published by FIA and SIFMA AMG to provide all market participants with the opportunity to comment as part of the industry’s efforts to promote compliance with regulatory requirements.

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  • July 20, 2020 • FIA, Americas, Advocacy, Regulatory Responses

    FIA comments on CFTC bankruptcy proposals for FCMs and clearinghouses

    FIA commented on the CFTC’s recent update to Part 190 of the agency’s regulations dealing with the bankruptcy of FCMs and clearinghouses.

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