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NFA Bylaw 1101 compliance
NFA Bylaw 1101 prohibits NFA members from conducting futures-related business with non-members that are required to be registered with the CFTC but have not done so.
CONTINUE READINGThe other side of the coin: bitcoin, blockchain, regulation and enforcement
The rise of cryptocurrencies such as Bitcoin has gained widespread attention since its inception in 2009.
CONTINUE READINGCFTC and SEC Dodd-Frank whistleblower rules
The Commodity Futures Trading Commission and the Securities and Exchange Commission’s Dodd-Frank whistleblower rules have strengthened the regulators’ enforcement regimes and encouraged employees to report wrongdoing, but also create new requirements and hazards for employers.
CONTINUE READINGU.S. trading activities in Europe: the impact of new EU transaction reporting and position limits rules
Two key aspects of MiFID II and MiFIR – transaction reporting and the new position limits regime – are likely to have a wide-ranging impact on any person transacting in the European derivatives markets, including traders located in the United States.
CONTINUE READINGStandardizing CCP rule analysis: using a comparative assessment tool to evaluate implementation of the PFMIs
In this webinar, John Williams, a partner at Milbank, Tweed in New York and Michael Voisin, a partner at Linklaters in London, will demonstrate the FIA CCP Risk Review™, and then go on to discuss what it reveals about CCP transparency and the practical realities of the implementation of CPMI-IOSCO’s Principles for Financial Market Infrastructure (PFMIs).
CONTINUE READING“Spoofing": how to deal with this tricky offense and its regulatory guidelines
“Spoofing” was added to the Commodity Exchange Act’s list of specifically prohibited transactions by the 2010 Dodd-Frank amendments and is now a major component of enforcement matters pursued by the exchanges, the CFTC, and increasingly criminal authorities at the Department of Justice.
CONTINUE READINGUnderstanding Reg AT
On December 16, 2015, FIA held a webinar focused on educating attendees on the CFTC's new proposed rules on automated trading (referred to as "Regulation AT").
CONTINUE READINGCybersecurity threats: preparation & response
FIA hosted a webinar to discuss cybersecurity threats and the resources available to market participants in addressing cyber-attacks.
CONTINUE READINGThe pre- and post- trade environment - what can we expect from MiFID II/R?
Snapshot interviews with InfoNet guest speakers and panellists
CONTINUE READINGLeap Second event preparedness
The June 30 Leap Second event will be the first time that a leap second event has occurred during active trading hours in an environment where electronic and automated trading relies on sub-second precision for communication, execution, clearing, surveillance and audit trails.
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