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FIA New Member Profile –n-Tier Financial Services
n-Tier Financial Services is a New York-based software company that helps firms manage and monitor their regulatory reporting obligations. The company’s platform manages the capture, storage and integrity of large volumes of sensitive data and generates timely and accurate reporting, helping firms to manage compliance across jurisdictions.
CONTINUE READINGRecord-breaking Kilt Challenge raises over £175,000 for Futures for Kids
Goldman Sachs’ Alicia Crighton and ICE’s Chris Edmonds take the Futures for Kids Kilt Challenge to new heights.
CONTINUE READINGMay 2025 stats on customer funds held at US FCMs
The total amount of customer funds in futures accounts at US FCMs reached a $390 billion in May, down 0.1% from the previous month but up 15.6% over the last 12 months. The number of FCMs holding customer funds in futures accounts was recorded at 50 in May, up from 49 year ago but down from 53 five years ago.
CONTINUE READINGLooking Forward: Shifting Priorities at the CFTC and SEC
The start of the year has brought policy changes, personnel shifts, and a realignment of priorities at the CFTC and SEC. Foley and Lardner will discuss the recent developments at the Commissions under the new administration and their implications for market participants.
CONTINUE READINGPeople News – June/July 2025
Appointments, promotions and other people news in the derivatives industry
CONTINUE READINGFIA PTG responds to FINRA TRACE transaction reporting proposal
In a letter filed with the US Securities and Exchange Commission, the FIA Principal Traders Group applauded FINRA for eliminating the harmful manual trade exception previously approved but never implemented, and encouraged FINRA to continue to improve the TRACE regime, including by shortening the reporting timeframe for all transactions.
CONTINUE READINGFIA responds to FICC proposed default management and porting rules for its agent clearing service model
FIA submitted a comment letter to the SEC responding to FICC’s proposed default management and porting rules for its agent clearing service model.
CONTINUE READINGFIA EPTA responds to European Commission targeted consultation on integration of EU capital markets
Responding to the European Commission’s consultation on capital markets integration, FIA EPTA calls for reducing friction in trading and post-trading and improving the competitive landscape.
CONTINUE READINGTrade associations request EMIR 3.0 Active Account Requirement forbearance
FIA, EACB, EFAMA and ISDA have written to the European Securities and Markets Authority to highlight concerns regarding the imminent entry into effect of the Active Account Requirement on 24 June 2025, in the absence of required Level 2 implementing rules. Without these rules, EU market participants lack clarity on the final AAR requirements with which they must comply from that date. The associations request that ESMA issues an opinion to national competent authorities asking them not to prioritise any supervisory or enforcement action in relation to AAR, namely the representativeness requirement.
CONTINUE READINGFIA PTG responds to FINRA Rule Modernization Review
The FIA Principal Traders Group welcomes the opportunity to participate in the Modernization Review and commended FINRA for undertaking this worthwhile initiative.
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