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Response by FIA EPTA to the FCA Consultation Paper on a new UK prudential regime for MiFID investment firms
This document constitutes FIA EPTA’s response to the FCA’s Consultation Paper on a new UK prudential regime for MiFID investment firms (CP20/24). We very much welcome the FCA’s approach as set out in the Consultation Paper and generally agree that the FCA’s proposed rules are clear, proportionate and fit for purpose. In our response, we focus on a number of key areas where we believe further improvements or clarifications could be made to enable a proportionate, effective and practicable prudential regime for investment firms.
CONTINUE READINGSpecial Report Series: Market Infrastructure Under MiFID II
This Special Report is the fourth in FIA and FIA Europe’s series covering specific areas of the European Securities and Markets Authority’s consultation process for the implementation of the recast Markets in Financial Instruments Directive (“MiFID II”) and the new Markets in Financial Instruments Regulation (“MiFIR”).
CONTINUE READINGFIA letter to President Biden highlights priorities and opportunities
On behalf of FIA's membership, we wish you all the success as you begin your work as the 46th President of the United States. Policies affecting financial markets are sure to feature prominently in your agenda, particularly in light of the recent volatility in securities markets.
CONTINUE READINGResources regarding separate accounts of the same beneficial owner
March 31, 2021, is the deadline specified in the CFTC’s Supplemental Advisory and Time-Limited No-Action Relief Letter 20-28 (“NAL 20-28”) for Futures Commission Merchants (“FCMs”) and their clients to take certain steps with respect to margining of separate accounts with the same beneficial owner and related agreements.
CONTINUE READINGFIA PTG raises market access concerns with the Nasdaq Carteret data center roof
On February 12, 2021, FIA PTG submitted a letter to the SEC raising market access concerns with the wireless connectivity configuration to Nasdaq via the roof of their data center in Carteret, NJ.
CONTINUE READINGFIA PTG opposes amendment to National Market System Plan governing the Consolidated Audit Trail
On February 8, 2021, FIA PTG submitted a letter to the SEC encouraging the Commission to reject an amendment to the National Market System Plan governing the Consolidated Audit Trail (CAT).
CONTINUE READINGETD Volume - January 2021
Worldwide volume of exchange-traded derivatives was 4.65 billion contracts in the month of January, up 0.4% from the previous month and up 43% from January 2020.
CONTINUE READINGFIA highlights CCP margin procyclicality concerns to European Regulators
FIA today presented to the European Securities and Markets Authority (ESMA) on the issues experienced in the spring of 2020 when high volatility and procyclicality of margin requirements were experienced in the global clearing system.
CONTINUE READINGFIA endorses industry led climate finance principles
FIA President and CEO made a statement on the release of the pan trade financial industry associations statement of principles Financing a U.S. Transition to a Sustainable Low-Carbon Economy.
CONTINUE READINGBusiness continuity and disaster resilience test findings published
The FIA Market Technology division completed its 16th annual continuity of business and disaster resilience test in October 2019. A full report on the test and its findings have been released.
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