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CFTC Keynote Address - Expo 2019
Chairman Heath Tarbert, of the Commodity Futures Trading Commission, took office in July 2019. With extensive experience in financial services law, Chairman Tarbert has served in senior leadership roles in the public and private sector, most recently as Assistant Secretary for International Markets and subsequently as acting Under Secretary for International Affairs in the U.S Department of the Treasury. In his first keynote address at FIA Expo, Chairman Tarbert shared his thoughts on the CFTC’s current and future agenda, and the U.S. and global regulatory landscape.
CONTINUE READINGFIA Form Agreement Review Process and Call to Action on EFP Agreement
The FIA Law & Compliance Give-Up Subcommittee will be opening the customer and trader versions of the EFP Agreement for comments from members on Wednesday, November 20, 2019
CONTINUE READINGFIA comments on UK’s financial operational resilience discussion paper
FIA submitted comments on 5 October to the Bank of England, Prudential Regulation Authority and Financial Conduct Authority on their discussion paper about building the UK financial systems operational resilience.
CONTINUE READINGRecordkeeping
The CFTC’s amendments to the recordkeeping rule became effective at the end of August 2017.
CONTINUE READINGEEX Group presents Its MiFID II readiness programme
FIA's MiFID II webinar series continues with a briefing for firms on the impact of MiFID II on EEX.
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 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.
CONTINUE READINGLondon Metals Exchange MiFID II readiness update for U.S. firms
FIA's MiFID II webinar series continues with a briefing for U.S. firms on the impact of MiFID II on trading LME markets.
CONTINUE READINGEuronext Derivatives MiFID II readiness update
FIA's MiFID II webinar series continues with a briefing for U.S. firms on the impact of MiFID II on trading Euronext markets.
CONTINUE READINGCMU and the Investment Firm Review: strengthening European capital markets through proportionality
Hands up if you want up-and-coming European companies to have sufficient access to the money they need to grow and to drive prosperity across the EU? It’s a no brainer – and one of the reasons why European politicians and regulators are keen to push forward the Capital Markets Union.
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