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FIA supports EC transitional period for CCP equivalence
FIA has commented on the European Commission’s published Draft Implementing Regulation on the extension of transitional period related to own funds requirements for exposure to central counterparties in the Capital Requirements Regulation.
CONTINUE READINGFIA comments on Japan's high speed trading proposal
On Nov. 22, FIA submitted comments to the Financial Services Agency of Japan regarding proposals for the implementation of a new law establishing a regulatory framework for high speed trading on Japanese exchanges.
CONTINUE READINGFIA and ISDA bolster argument against cleared swap surcharge with additional information
On Nov. 22, FIA and ISDA filed a joint supplemental response with the Federal Reserve to support their opposition to proposed changes to the capital surcharge imposed on U.S. banking organizations that are determined to be "global systemically important banking organizations."
CONTINUE READINGChina Opens Door to More Foreign Investment in Brokerage Industry
On Nov. 10, China’s vice minister of finance Zhu Guangyao announced several steps to further open up China's financial industry to foreign participation.
CONTINUE READINGTechnology-Neutral Regulation
On Nov. 14, five U.S. financial associations including FIA asked the Securities and Exchange Commission to update its broker-dealer electronic retention Rule 17a-4 by eliminating an obsolete recordkeeping requirement known as WORM (write once, read many) that was first put in place more than 20 years ago.
CONTINUE READINGFIA encourages European Commission to develop and promote an outward-looking EU Capital Market Union
On 15 November, FIA submitted comments to the European Commission (EC) regarding its consultation on post-trade in a Capital Market Union.
CONTINUE READINGFIA Market Technology Division simulates cyber-attack on clearinghouse
The FIA Market Technology Division has published a summary report on “Operation Blow Torch”, the inaugural annual cybersecurity scenario workshop.
CONTINUE READINGAntitrust considerations for participants in the commodity markets
In recent years, many firms have been subject to civil and even criminal investigations and actions alleging antitrust violations.
CONTINUE READINGFIA works with industry coalition to modernize SEC record-keeping rule
On November 14, five U.S. financial associations, including FIA, asked the SEC to update its broker-dealer electronic retention Rule 17a-4 by eliminating an obsolete recordkeeping requirement known as WORM (write once, read many) that was first put in place more than 20 years ago.
CONTINUE READINGCore action items for third-country firms for MiFID go-live
This webinar will explore core compliance and operational issues that third-country firms should consider in preparation for MiFID II’s implementation date on January 3, 2018.
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