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FIA responds to SEBI consultation paper on safeguarding clients’ funds placed with stock brokers/clearing members
FIA has expressed concern that the proposed requirements could have negative effects on the timing and operational complexity of returning funds to clients, hindering CMs' ability to dynamically meet the needs of their clients.
CONTINUE READINGTrading Facility – an Evolving Concept for US and Global Regulators and Implications for DeFi
At the end of 2021 and the beginning of 2022, several US and international financial regulators have indicated that the concept of a trading facility is undergoing a dramatic revaluation to include more platforms that, until recently, were unregistered.
CONTINUE READINGFIA and FIA Tech release guidelines for the simplified execution source code
Today, FIA together with affiliate FIA Tech, announced new technical guidelines for firms to properly identify the correct brokerage when executing and clearing exchange traded derivatives.
CONTINUE READINGOpen letter to CFTC chairman Giancarlo regarding the listing of cryptocurrency derivatives
On December 6, FIA CEO and President Walt Lukken wrote an open letter to CFTC Chairman Christopher Giancarlo outlining concerns with the process in which cryptocurrency futures have come to market.
CONTINUE READINGFIA Forum: Frankfurt 2019
FIA Forum: Frankfurt 2019 - European Regulatory Developments
CONTINUE READINGCompliance and Regulation Forum: The Future of Cross-border Market Regulation
Compliance and Regulation Forum: The Future of Cross-border Market Regulation
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