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SEC Enforcement Priorities
The panel will discuss SEC tactics such as the increasingly sophisticated use of whistleblowers and trading data surveillance, and evolving enforcement priorities, such as the SEC’s focus on disclosures, sales practices, and other policies and procedures related to sales of complex products and trading strategies, with examples involving complex options-based strategies and variable annuities.
CONTINUE READINGFIA and ISDA respond to ESMA’s consultation on CCP business reorganization plans under the CCP resolution regime
the associations invite ESMA to carefully consider risks of conflicts of interest that may arise if a CCP’s incumbent management develops the business reorganization plan, and to include a review of the CCP’s risk management framework.
CONTINUE READINGETD Volume - November 2022
Worldwide volume of exchange-traded derivatives reached 7.75 billion contracts in November, up 10.9% from October 2022 and up 25.7% from November 2021.
CONTINUE READINGFIA EPTA’s Response to ESMA’s Consultation Paper on Market Outages
FIA EPTA members are supportive of the work being done by ESMA on market outages, particularly efforts to require trading venues to publish clear comprehensive outages plans on an ex-ante basis. Market resilience is at the core of efficient and competitive financial markets and it is imperative that trading venues clearly outline a well-planned approach to communication and management in the event of a market outage to provide certainty to market participants.
CONTINUE READINGTrading Volume: first quarter 2004 volume report
Equity options and interest rate products boomed in the first quarter, giving U.S. exchanges a huge boost in volume.
CONTINUE READINGFIA responds to Eurex consultation on the implementation of the second skin in the game
While FIA and its members have been strong advocates for a SSITG, Eurex's intention to reduce the first SITG by 28% as part of the implementation is “opposed to the spirit of the new recovery and resolutions regulations and what the industry has been pushing for the past few years.”
CONTINUE READINGFIA responds to Hong Kong SFC consultation on Position Limit Regime changes
FIA has responded to the Hong Kong Securities and Futures Commission’s consultation conclusions and further consultation on changes to the Position Limit Regime.
CONTINUE READINGFIA urges SEC to exempt FCMs from expanded US Treasuries clearing proposal
FIA has submitted comments to the US Securities and Exchange Commission (SEC) in response to proposed rules establishing standards for covered clearing agencies for U.S. Treasury securities.
CONTINUE READINGFIA publishes China netting and collateral legal opinions
In December 2022, FIA published new industry standard netting and collateral legal opinions for the People’s Republic of China (PRC). Recent positive developments in the PRC’s legislative framework for derivatives, specifically the adoption of the Futures and Derivatives Law in 2022, made it possible for FIA to commission these opinions for the benefit of global clearing firms that provide derivatives clearing services (cleared OTC and ETD) to PRC clients when they wish to access non-PRC CCPs under the English law governed FIA Terms of Business.
CONTINUE READINGFIA mourns industry icon Nick Carew Hunt
FIA joins the industry in mourning the loss of Nick Carew Hunt, an integral part of London's futures community and the growth of the derivatives industry in both the U.K. and Europe. He passed away at the age of 71 on 15 January after a short illness.
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