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Washington update: a briefing on the transition to a new administration and a new Congress
The election of Donald Trump as the next U.S. President and the new Congressional makeup will lead to significant changes in the policymaking landscape in Washington, with a new approach to financial market regulation as well as new leadership at regulatory agencies such as the Commodity Futures Trading Commission.
CONTINUE READINGExchange amendments to block trade pre-hedging rules
FIA is pleased to host representatives from CME, ICE and Nasdaq Futures regarding the exchanges’ recent amendments to their block trade pre-hedging rules.
CONTINUE READINGParliament accepts one-year delay for MiFID II
The European Parliament (EP) has today published an official statement by Markus Ferber (European Parliament Rapporteur for MiFID II), on behalf of the MiFID II negotiation team, accepting the one-year delay of the entry into force of MiFID II in exchange for a swift finalisation of level 2 measures by the European Commission.
CONTINUE READING2016 CFTC and SRO enforcement trends
Get up to speed on the 2016 CFTC and SRO enforcement trends at the final FIA Law & Compliance Division webinar for 2016.
CONTINUE READINGMiFID crashcourse for U.S. CCOs
This webinar will provide bite-sized introductions to key regulatory developments in Europe under the revised Market in Financial Instruments Directive (MiFID II) and the associated Markets in Financial Instruments Regulation (MiFIR).
CONTINUE READINGCFTC, FERC & SEC updates for CCOs
The regulatory landscape for chief compliance officers is rapidly changing as companies enter new markets, each with different rules of engagement.
CONTINUE READINGSummary of new EFRP rules and Q&A with the CME Group
The CME Group is instituting changes to its exchange-for-related positions rules (Rule 538 and accompanying guidance).
CONTINUE READINGAccessing PRC futures and commodities exchanges
China’s markets have been a source of great interest to overseas market participants because of its sheer size and potential.
CONTINUE READINGInsider trading under the Commodity Exchange Act
The CFTC’s new fraud-based anti-manipulation rule, Rule 180.1, provides it with broad authority to prosecute the misappropriation of material non-public information; often referred to as “insider trading.”
CONTINUE READINGIssues & strategies for U.S. fund managers marketing in Europe
This webinar focuses on the current challenges confronted by U.S. fund managers in marketing their funds in Europe due to the current state of European funds legislation as well as the uncertainties arising from the Brexit referendum.
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