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Anti-Money Laundering: FIA Asks CFTC for No-Action Letter on Customer Identification
The Futures Industry Association, on behalf of its member firms and similarly situated futures commission merchants and introducing brokers (each, a “Firm”), respectfully requests the staff of the Commodity Futures Trading Commission (“Commission”) to confirm that it will not recommend that the Commission initiate an enforcement action against a Firm, if the Firm, in complying with its obligations under the customer identification rule (“CIP Rule”), relies on certain commodity trading advisors (“CTAs”) to perform elements of the Firm’s customer identification program notwithstanding that such CTAs currently are not subject to an anti-money laundering program rule under 31 USC 5318(h) (“AML Rule”) for the purposes of paragraph (b)(6) of the CIP Rule.
CONTINUE READINGAustralia introduces mandatory swap clearing from April 2016
On 14 December 2015, the Australian Securities & Investments Commission released the final rules implementing Australia's mandatory central clearing regime for OTC derivatives.
CONTINUE READINGBasel Committee proposes changes to leverage ratio
On April 6, the Basel Committee on Banking Supervision released a consultation paper that seeks comment on several potential changes to the Basel III leverage ratio framework, including changes to the treatment of derivatives exposures.
CONTINUE READINGBBA and FOA joint response to FSA proposed guidance on transaction reporting strategy trades
As FSA knows, our members recognise the importance of an effective reporting regime which supports the FSA in meeting its statutory objectives, in particular the prevention / detection of financial crime.
CONTINUE READINGBBA/FOA joint response to FSA's guidance consultation on the Transaction Reporting User Pack
Our members recognise the importance of an effective reporting regime which supports the FSA in meeting its statutory objectives in the detection of market abuse and prevention / detection of financial crime.
CONTINUE READING2015 FIA Annual Futures and Options volume survey: Asia Takes the Lead
FIA’s annual survey of derivatives exchange volumes highlights strong growth in the trading of futures and options at exchanges in China, India, Korea, Singapore and other parts of Asia.
CONTINUE READING2016 FIA Annual Volume Survey: Global Futures and Options Volume Reaches Record Level
FIA’s annual survey of derivatives exchange volume revealed that the total number of futures and options traded on exchanges worldwide reached 25.22 billion contracts in 2016.
CONTINUE READINGFIA and FIA PTG members testify on CFTC's proposed regulations of automated trading
Greg Wood, chair of FIA’s Market Access Committee, testified before the House Agriculture Committee on the CFTC's proposed rules on automated trading, or Reg AT.
CONTINUE READING21 June 2013: EMIR Reportable Fields - Excel spreadsheet
Working group output: EMIR Reportable Fields - Excel spreadsheet - 21 June 2013
CONTINUE READING22 May 2014: EMIR reportable fields summary discussion document
Working group output: EMIR Reportable Fields Summary Discussion Document - 22 May 2014
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