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FOA response to FSA's CP12/22: Client assets regime: Part II & III
FOA response to FSA's CP12/22: Client assets regime: Part II & III
CONTINUE READINGLetter to Commissioner Sommers Re: Definition of a "US Person"
Letter to Commissioner Sommers Re: Definition of a "US Person"
CONTINUE READINGRequest for no-action relief from compliance with certain requirements of CFTC regulation 3.3 relating to the form and content of the annual report
Request for no-action relief from compliance with certain requirements of CFTC regulation 3.3 relating to the form and content of the annual report
CONTINUE READINGFOA response to the Consultation Paper on Exemption for market making activities
FOA response to the Consultation Paper on Exemption for market making activities
CONTINUE READINGResponse to Proposed Amendment to CFTC Large Trade Reporting Rules
Response to Proposed Amendment to CFTC Large Trade Reporting Rules
CONTINUE READINGFIA 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 READINGFOA Guidance on Systems and Controls for Electronic Trading Environments
FOA Guidance on Systems and Controls for Electronic Trading Environments
CONTINUE READINGFIA 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 READINGUS District Court Strikes Down Position Limits Rule
The U.S. District Court for the District of Columbia issued a ruling on Sept. 28, 2012 striking down the Commodity Futures Trading Commission's position limits rule.
CONTINUE READINGCFTC Grants Certain Relief for Rule 1.73
CFTC staff granted an extension of time to comply with certain provisions of the clearing member risk management rule, Rule 1.73, which is scheduled to go into effect on October 1, 2012.
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