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FIA issues guidance on systems and controls for electronic trading environments
This document supports and seeks to provide more detailed guidance on the implementation of, amongst other things, the ‘Guidelines on systems and controls in an automated trading environment’ (ESMA Guidelines).
CONTINUE READINGFIA issues model disclosure form to assist FCMs in complying with CFTC regulation 1.71
On July 13, the FIA issued a model disclosure form to assist futures commission merchants in complying with Regulation 1.71, a Commodity Futures Trading Commission rule that establishes information barriers between FCMs and affiliated swap dealers and major swap participants and requires FCMs to disclose to their customers conflicts of interest in the provision of trade execution or clearing services.
CONTINUE READINGNew resource - FIA Algorithmic Due Diligence Guide
FIA’s European E-Trading Committee - in cooperation with the Managed Funds Association - have produced a template of questions for use by exchange members facilitating algorithmic trading by their clients.
CONTINUE READINGNew MiFID II resource – Due Diligence Assessment of Prospective DEA Clients
FIA's European E-Trading Committee - in cooperation with AFME, AIMA and MFA - have produced a template of questions for use by investment firms providing direct electronic access to their clients, as required under Article 22 of RTS 6.
CONTINUE READINGFIA publishes due diligence questionnaire for IT outsourcing and procurement
FIA's e-Trading Working Group has produced a Due Diligence Questionnaire for IT Outsourcing and Procurement which aims to provide a standard form for firms to request information from their vendors as part of MiFID II regulatory requirements.
CONTINUE READINGFIA Market Technology division releases leap second recommendations
The FIA Market Technology Division today published a set of recommendations to help the industry prepare for the upcoming leap second event on June 30 and reduce the likelihood of market disruption.
CONTINUE READINGFIA coordinates industry preparations for leap second event
On Tuesday, June 30, an additional “leap second” was added to realign Coordinated Universal Time (UTC) with mean solar time.
CONTINUE READINGETD Volume - March 2020
Worldwide volume of exchange-traded derivatives was 4.54 billion contracts in the month of March, up 25.4% from the previous month and up 58.8% from March 2019.
CONTINUE READINGFIA issues statement on regulatory review announced by White House
Washington, D.C. — In response to the executive order issued today by the White House that directed the Treasury Secretary to conduct a 120-day review of financial system regulation, FIA released the following statement from FIA President and CEO Walt Lukken:
CONTINUE READINGFIA welcomes Myriam Condon as Vice President of Member Services and Business Development
FIA is pleased to announce the appointment of Myriam Condon as Vice President Member Services and Business Development.
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