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DOJ enforcement priorities in commodities & derivatives markets: A discussion with DOJ leadership
During this discussion, James McDonald, Sullivan & Cromwell Partner, interviews Robert Zink, U.S. Department of Justice, Acting Assistant Attorney General (and Chief of the DOJ Fraud Section from January 2019 to August 2020), regarding DOJ’s enforcement priorities in the commodities and derivatives markets and white collar area more generally.
CONTINUE READINGCFTC acting Chairman Russ Behnam addresses FIA’s Law and Compliance Conference
On 28 April, CFTC acting Chairman Russ Behnam sits down for a wide-ranging conversation with FIA president and CEO Walt Lukken to discuss the commission’s agenda, financial regulators role is addressing climate change, the CFTC’s role in FSOC, the role of retail in the futures and cleared derivatives markets and challenges posed by family offices.
CONTINUE READINGFIA comments on the implementation of Basel standards
On 30 April 2021, FIA submitted a response to the UK Prudential Regulation Authority (PRA) consultation on the implementation of Basel standards (CP5/21).
CONTINUE READINGFIA PTG supports Cboe voluntary compression service for market makers
In a letter filed with the SEC today, the FIA Principal Traders Group (FIA PTG) supported the Cboe's Proposal to add another compression tool.
CONTINUE READINGQ1 2021 ETD Volume
This webinar highlights the main trends in trading activity in Q1 2021 in the global exchange-traded derivatives markets, with category and regional breakdowns as well as exchange and contract rankings.
CONTINUE READINGPossible evolution of MIFID II algorithmic trading rules
In light of the recent ESMA consultation on MIFID II/MIFIR Review Report on Algorithmic Trading and the ongoing review of European financial market regulations, FIA will look at the evolution of algorithmic trading rules in Europe and their impact on cleared derivatives markets.
CONTINUE READINGFIA PTG opposes latest Consolidated Audit Trail funding proposal
In a letter filed with the SEC today, the FIA Principal Traders Group (FIA PTG) urged the Commission not to approve the amended Consolidated Audit Trail (CAT) funding proposal.
CONTINUE READINGAnti-money laundering considerations for security and commodity derivatives
In 2018, the CFTC Division of Enforcement established a Bank Secrecy Act task force dedicated to investigating and enforcing AML regulations. In October 2019, the CFTC, the SEC and FINCEN issued a joint statement highlighting the importance of AML compliance in matters involving securities, commodities, derivatives and digital assets.
CONTINUE READINGETD Volume - April 2021
Worldwide volume of exchange-traded derivatives was 4.49 billion contracts in the month of April, down 19.3% from the previous month but up 35% from April 2020.
CONTINUE READINGFIA joins other trade organizations to publish the UK version of the SFTR Article 15 Information Statement
The Association for Financial Markets in Europe (AFME), the Futures Industry Association (FIA), the International Capital Market Association (ICMA), the International Swaps and Derivatives Association, Inc. (ISDA) and the International Securities Lending Association (ISLA) have jointly published an updated statement that can be used to help market participants comply with Article 15 of the Securities Financing Transactions Regulation as it forms part of ‘retained EU law’ as defined in the European Union (Withdrawal) Act 2018 (UK SFTR).
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