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MiFID Compliance: FIA Offers Template for Due Diligence Assessment of DEA Clients
FIA’s European E-Trading Committee, working in cooperation with three other industry trade associations, has produced a template of questions for use by investment firms providing direct electronic access to their clients.
CONTINUE READINGFIA submits amicus brief addressing the standard for attempted manipulation under the Commodity Exchange Act
On 12 January 2016, FIA joined CME Group, the Commodity Markets Council, Intercontinental Exchange, and the Managed Funds Association in requesting the United States District Court for the Southern District of New York accept an amicus brief addressing the standard for attempted manipulation under the Commodity Exchange Act (Docket No. 13-7884 (AT/KF)).
CONTINUE READINGManaging Liquidity: Why You Should Revisit Your Strategy Today
Successfully running a futures commission merchant business or brokerage firm requires more than state-of-the-art trading technology and market access. You also need quick access to cash in case your clients suddenly require liquidity.
CONTINUE READINGFIA submits amicus brief in FCStone/Sentinel litigation involving the protection of customer funds
FIA filed an amicus brief in the FCStone/Sentinel litigation involving the protection of customer funds that may have been moved out of futures segregated accounts.
CONTINUE READINGLegal Liability: Futures Brokers Exempted from Consumer Arbitration Rule
On July 10, the Consumer Financial Protection Bureau, a U.S. government agency created through DoddFrank, issued a final rule on pre-dispute arbitration agreements.
CONTINUE READINGFIA submits amicus brief in FCStone-Sentinel litigation involving the protection of customer funds
FIA filed an amicus brief in the FCStone/Sentinel litigation involving the protection of customer funds that may have been moved out of futures segregated accounts.
CONTINUE READINGKenanga Takes Control: Deutsche Bank Sells Stake in Malaysian Futures Brokerage
On July 27, Deutsche Bank completed the sale of its 27% stake in Kenanga Deutsche Futures, a joint venture with Malaysia's Kenanga Investment Bank that was set up more than two decades ago
CONTINUE READINGFIA Submits Comment Letter to the CFTC Supporting a Proposed Amendment to CFTC Rule 1.55(d)(1)
FIA submitted a comment letter to the CFTC supporting a proposed amendment to CFTC Rule 1.55(d)(1):
CONTINUE READINGInformation Sharing: U.K. and Hong Kong Regulators to Cooperate on Cross-Border Supervision
On July 20, the Hong Kong Securities and Futures Commission and the U.K.
CONTINUE READINGFIA submits comments on CFTC advisory committee discussion of position limits and aggregation of positions
The Futures Industry Association (“FIA”) appreciates the opportunity to provide the Commodity Futures Trading Commission (“Commission” or “CFTC”) with comments and recommendations in response to the Commission’s re-opening of the comment period for its proposed rules (1) establishing position limits for derivatives, and (2) amending the rules governing the aggregation of positions.
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