Search

Resources

FIA works closely with member firms to develop industry-standard agreements and other documentation that all market participants can use to support their trading and clearing functions as well as ensure regulatory compliance in different jurisdictions.

FIA’s US Documentation Library contains a wide range of guidance documents and template agreements and disclosures. These include standard give-up agreements, client clearing and execution agreements, risk disclosure statements and a number of exchange-specific agreements.

FIA’s CCP Risk Review™ summarizes the rules and procedures of CCPs worldwide. Written in practical, comparative terms and incorporating key implications of applicable law where relevant, the FIA CCP Risk Review assists market participants and regulators in scrutinizing and understanding the risks relating to CCPs, for both clearing members and clients.

FIA’s European Documentation Library puts valuable legal opinions and client terms of business at your fingertips. This documentation helps you meet regulatory requirements and/or common commercial objectives such as facilitating commercial dealings or addressing areas of capital or risk.

Documentation News

  • FIA responds to consultation on critical third parties in the UK financial sector

    FIA supports the UK authorities’ proposed approach, allowing regulators to build on and complement operational resilience frameworks for firms and financial market infrastructures. FIA members also support the proposal for oversight of critical third parties to be as interoperable as reasonably practicable with similar existing and future regimes. Furthermore, FIA members support the proposals to promote regulatory and supervisory interoperability.

    CONTINUE READING
  • Fad or foundation?

    In a recent panel discussion at the International Futures Industry Conference in Boca Raton, FL, several senior executives of the equity options trading ecosystem weighed in on the reasons for the explosive growth, why they think trading volume will continue to climb, and what the industry is doing to keep customers and regulators happy.

    CONTINUE READING
  • Industry experts optimistic on trading volume but concerned about capital

    As the volume and velocity of global futures and options trading grow, market watchers see a variety of risks and opportunities in store – risks stemming mostly from the unintended consequences of new regulations and opportunities from advances in technology.

    CONTINUE READING
  • Retail investors fuelling volumes at top derivatives exchanges 

    FIA Boca: Exchange leaders see shift towards smaller contracts and shorter durations 

    CONTINUE READING
  • FIA New Member Profile – Clear Street

    Founded in 2018 in New York, Clear Street is a diversified financial services firm and FINRA-registered broker-dealer offering clearing, custody, execution, and financing for US equities and options and clearing, custody, and financing for fixed-income securities.

    CONTINUE READING
  • Competing with conviction, respecting the contest

    Opening remarks of Walt Lukken, President and CEO of FIA, at the International Futures Industry Conference in Boca Raton, FL. As prepared for delivery.

    CONTINUE READING