Search
Showing 5161 results
Presentations from InfoNet: MiFID II/R seminar on Investor Protection
The MiFID II/R Seminar investor protection included a presentation from speakers from Norton Rose Fulbright on the four aspects that will have the greatest effect on ETD markets.
CONTINUE READINGPresentations from InfoNet: MiFID II/R seminar on Reporting
This seminar provided an update on the transaction reporting requirements under MiFID II.
CONTINUE READINGPresentations from InfoNet: MiFID II/R seminar on Transparency
The InfoNet MiFID II/R seminar on transparency focused on the final draft regulatory technical standards and the effect of the regulations on market participants and trading venues.
CONTINUE READINGRevised SFTR Disclosure
The revised SFTR Article 15 Information Statement includes a new Appendix which outlines re-use risks in relation to US FCMs, US broker-dealers or US banks when they act as ‘collateral takers’.
CONTINUE READINGFIA PTG Comment Letter on Pilot Programs
FIA Principal Traders Group supports the use of pilot programs to test ideas for making changes to US equity market structure and applauds the SEC for their continued use of data-driven decision making.
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 publishes order handling Risk Management recommendations for Executing Brokers
Building on recent FIA publications, including Market Access Risk Management Recommendations (April 2010) and Recommendations for Risk Controls for Trading Firms (November 2010), this document offers a number of recommendations for executing firms to consider both in designing policies for their own brokers that handle orders electronically and in dealing with customers that access the markets through a broker’s trading platform.
CONTINUE READINGFIA publishes Regulatory Patch as part of its Terms of Business Update Project
In conjunction with its members and Clifford Chance, FIA has been working on the Terms of Business Update Project, which is designed to update the Modules of the 2011 versions of FIA’s Professional Client Agreement, Wholesale Client Agreement and Retail Client Agreement to reflect in-scope regulatory developments.
CONTINUE READINGFIA questions OCC's proposed recovery tools
On Jan. 16, FIA submitted a letter to the Securities and Exchange Commission commenting on a proposal by the Options Clearing Corporation to amend certain provisions of its default management rules.
CONTINUE READINGFIA reaction to planned phase out of Chinese ownership restrictions
Washington, D.C.—FIA today released a statement from Walt Lukken, president and chief executive officer of FIA, regarding an announcement by the China State Council that the ownership restrictions on certain segments of the financial services industry will be phased out over the next several years.
CONTINUE READING