Search
Showing 4476 results
FIA EPTA letter on the European Commission consultation on a digital operational resilience framework for financial services
FIA EPTA appreciates the opportunity to respond and feed into the European Commission’s consultation on improving resilience against cyberattacks for the financial services sector.
CONTINUE READINGFIA Speaks Episode 11: CFTC Chairman Heath Tarbert
Episode 11 features Commodity Futures Trading Commission Chairman Heath Tarbert in a wide-ranging conversation with FIA President and CEO Walt Lukken.
CONTINUE READINGFIA seeks clarity for FCMs clearing SEF block trades
FIA filed a comment letter with the CFTC responding to the agency’s proposed rulemaking on Swap Execution Facility Requirements and Real-Time Reporting Requirements.
CONTINUE READINGFIA request to modify and extend OCR No-Action relief
FIA sent a letter to the CFTC requesting a modification and extension of the current no-action relief for Ownership and Control Reports Implementation Reporting Requirements.
CONTINUE READINGResponse 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 READING