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FIA supports efforts to modernize SEC recordkeeping requirements
FIA has sent a letter to the US Securities and Exchange Commission in support of the agency’s efforts to modernize recordkeeping requirements, and in support of comments filed with the SEC by the Securities Industry and Financial Markets Association on the topic.
CONTINUE READINGFIA EPTA response to the ESMA Call for evidence On the European Commission mandate on certain aspects relating to retail investor protection
FIA EPTA appreciates the opportunity to provide feedback to the European Securities and Markets Authority (ESMA) on the call for evidence On the European Commission mandate on certain aspects relating to retail investor protection. FIA EPTA considers that regulatory measures should be taken to encourage and highlight the benefits of exchange-listed products.
CONTINUE READINGFIA EPTA response to the FCA Discussion Paper on Sustainability Disclosure Requirements (SDR) and investment labels
FIA EPTA welcomes the opportunity to respond to the Financial Conduct Authority (FCA) Discussion Paper on Sustainability Disclosure Requirements (SDR) and investment labels (DP21/4). FIA EPTA members believe that for the normalisation of sustainable investing it should be organised in a similar way as with traditional investment products. FIA EPTA members believe that the secondary markets can play a vital role in the shift towards sustainable investing.
CONTINUE READINGFIA responds to proposed updated IOSCO commodities principles
FIA has filed a response to a consultation report on principles for the regulation of commodity derivatives from the Board of International Organization of Securities Commissions (IOSCO). The report, published in November 2021, aimed to reflect changes and developments in commodities derivatives markets since the publication of the existing IOSCO Principles for the Regulation and Supervision of Commodity Derivatives in 2011.
CONTINUE READINGETD Volume - February 2021
On a year-to-date basis, volume in the first two months of the year was 7.91 billion contracts, up 32.1% from the first two months of 2020.
CONTINUE READINGNew EU and UK prudential regimes for investment firms
In this webinar, a panel of experts discuss the new EU and UK prudential regimes for investment firms (EU IFR/IFD and UK IFPR).
CONTINUE READINGNew and Revised Versions of the International Uniform EFRP and Block Transactions Agreement
The FIA L&C Division is publishing new and revised versions of the International Uniform EFRP and Block Transactions Agreement (formerly known as the International Uniform EFP Transactions Agreement).
CONTINUE READINGFIA holds board elections at 2021 Annual Meeting
FIA reaffirmed the current officers of the board and added James Mackenzie of TD Ameritrade Futures and Forex, LLC to the board.
CONTINUE READINGComplying with cybersecurity regulations in an increasing threat environment
Cybersecurity regulation is evolving in the commodity and derivatives markets. Multiple regulations, rules and CFTC requirements are whipsawing challenging companies, while the risk of hacking is on the rise.
CONTINUE READINGAdena Friedman on Nasdaq diversity initiative - Boca-V 2021
Adena Friedman, Nasdaq President and Chief Executive Officer discusses Nasdaq's diversity initiative during Boca-V 2021.
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