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Response by the FIA EPTA to the FCA Discussion Paper on a new UK prudential regime for MiFID investment firms
FIA EPTA appreciates the opportunity to provide feedback to the Financial Conduct Authority (FCA) on its Discussion Paper regarding the implementation of the new UK prudential regime for MiFID investment firms. Market making and liquidity provision (also referred to as principal trading or dealing on own account) is a distinct activity that is undertaken by non-systemic investment firms rather than banks, in a highly dispersed and varied ecosystem of independent Principal Trading Firms.
CONTINUE READINGFIA PTG supports Cboe compression orders proposal
In a letter submitted to the SEC today, FIA PTG supported the Cboe’s proposal to add an electronic compression component to its existing compression forum.
CONTINUE READINGThe impending EU CCP recovery and resolution regime and its impact on EU and non-EU firms
On 24 September, representatives from Allen & Overy's Global Financial Services Regulatory and Bankruptcy practice in London and New York provided an overview of the EU legislative framework for the recovery and resolution of CCPs operating in the EU, which has now been finalized.
CONTINUE READINGFIA 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.
CONTINUE READINGFIA 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.
CONTINUE READINGFIA urges market participants to prioritize data standardization
"Tag 1031" effort to resolve brokerage rate issues is an important example of industry-led solutions
CONTINUE READINGFIA PTG comments on NYSE amended proposal to amend the schedule of wireless connectivity fees and charges
In a letter submitted to the SEC today, the FIA Principal Traders Group responded to the amended proposal recently filed by the Exchange.
CONTINUE READINGFIA and ISDA respond to BoE CCP operational resilience paper
FIA and ISDA have responded jointly to the Bank of England’s consultation paper (CP) on operational resilience of Central Counterparties. The associations applaud UK authorities for focusing on the operational resilience of the entire financial sector – including Financial Market Infrastructures (FMIs) such as CCPs.
CONTINUE READINGViewpoint - Markets are key to solving climate problem
My former boss and mentor, Senator Richard Lugar of Indiana, was extremely proud of his grove of black walnut trees on his 604-acre farm southwest of Indianapolis. You might say he was obsessed with them.
CONTINUE READINGFIA and FIA PTG join over two dozen trade groups in opposing NJ FTT proposal
On 6 October, FIA and FIA PTG joined over two dozen trade groups in sending letters of opposition to the New Jersey legislature, highlighting concerns about legislative proposals that would impose a tax on high-quantity processors of financial transactions.
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