Reporting

June 23, 2021 • Industry Operations, Recordkeeping and reporting, FIA, Advocacy, Public Policy Submissions

FIA responds proposed changes to best execution reports under MiFID

On 23 June, FIA responded to the UK FCA’s consultation on changes to the MiFID conduct and organisation requirements with a particular view on best execution reports (RTS 27 and RTS 28).

CONTINUE READING

May 12, 2021 • Equity Market Structure, Recordkeeping and reporting, Advocacy, Americas, Equities, FIA, FIA PTG, Advocacy, Public Policy Submissions

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.

CONTINUE READING

March 12, 2021 • Recordkeeping and reporting, Advocacy, MIFID II, MiFIR, Technology, Trading, FIA, Regulatory Responses

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.

CONTINUE READING

February 26, 2021 • Recordkeeping and reporting, Advocacy, Europe, ETD, Market Structure, FIA, Advocacy, Public Policy Submissions

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.

CONTINUE READING

January 13, 2021 • Recordkeeping and reporting, Advocacy, Europe, MIFID II, MiFIR, FIA, Public Policy Submissions

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.

CONTINUE READING

January 8, 2021 • Recordkeeping and reporting, Advocacy, Europe, FIA, Public Policy Submissions

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.

CONTINUE READING

October 7, 2020 • FIA, MarketVoice

CFTC finalizes rule to streamline reporting for commodity pool operators

The US Commodity Futures Trading Commission finalized a rule amending certain compliance requirements for commodity pool operators under Commission Regulation 4.27 by a 5-0 vote during an open meeting on 6 October.

CONTINUE READING

July 3, 2020 • Europe, Recordkeeping and reporting, Trading, FIA, Regulatory Responses

FIA responds to ESMA’s consultation on technical standards on reporting, data quality, data access and registration of trade repositories under EMIR REFITT

FIA submitted a response to ESMA’s consultation on draft Regulatory and Implementing Technical Standards covering reporting to Trade Repositories (TRs), procedures to reconcile and validate reported data, data access by the relevant authorities and registration of the TRs.

CONTINUE READING

March 4, 2020 • EMIR, Europe, Recordkeeping and reporting, FIA, Regulatory Guidance

Trade associations publish best practices for derivatives trade reporting under EMIR

Developed by FIA, ISDA, EFAMA, EVIA, GFXD and GFMA, the best practices are available to all market participants to access and implement.

CONTINUE READING

November 25, 2019 • UK, Clearing, Cross Border, Recordkeeping and reporting, FIA

Panelists discuss cross-border market regulation at FIA Compliance and Regulation Forum

On 12 November, FIA held its Compliance and Regulation Forum for members in London where the prevailing theme was the future of cross-border market regulation.

CONTINUE READING