Search
Showing 4498 results
State Attorneys General
The Trump administration's significant personnel and policy changes across the federal government's financial regulatory agencies have sparked a response from State regulatory and enforcement officials who possess significant sovereign authority independent of the federal government. Lawyers from WilmerHale explain how this shift could impact financial markets and CFTC registered entities.
CONTINUE READINGFIA's Lukken calls for “new era” in SEC-CFTC collaboration
FIA President and CEO Walt Lukken today participated in a joint meeting of the two main market regulators in the US – the Securities and Exchange Commission and the Commodity Futures Trading Commission. The joint meeting was organized for the purpose of promoting better collaboration between these two agencies, a goal that FIA has long championed as critical to effective oversight and intelligent regulation.
CONTINUE READINGFIA New Member Profile – Nanhua Financial (UK) Co Limited
Nanhua Financial (UK) Co. Limited is a global broker specialising in commodity and financial futures, headquartered in London. The firm’s core activities include trading, execution and clearing of metals, agricultural, and energy commodity futures, as well as currency futures and options on futures.
CONTINUE READING2025 issue of MarketVoice magazine
The 2025 issue of FIA's MarketVoice magazine includes exchange leader interviews, analyses of shifting regulatory landscapes, the latest on 24/7 futures markets, a look at tokenisation moving from pilot programmes to prevalent practice, and much more!
CONTINUE READINGFIA responds to TMX consultation on approved persons regime
FIA supports TMXs goals and objectives for a revised Approved Persons framework, particularly the simplification, modernization, and streamlining components. The comments it provides are intended to assist TMX in achieving these goals and objectives while also ensuring that the framework is practical and manageable for firms.
CONTINUE READINGTransforming the Position Transfer Process
With the release of a new DMIST standard, the industry now has a framework to accelerate processing times, more efficiently collect the data needed to effect the position transfer and set the stage for automating the process. Representatives from brokerage firms, clients and clearinghouses will share their insight on how clients, clearing members and clearinghouses can work together to streamline the Position Transfer process and reduce risk.
CONTINUE READINGTransforming the Position Transfer Process
With the release of a new DMIST standard, the industry now has a framework to accelerate processing times, more efficiently collect the data needed to effect the position transfer and set the stage for automating the process. Representatives from brokerage firms, clients and clearinghouses will share their insight on how clients, clearing members and clearinghouses can work together to streamline the Position Transfer process and reduce risk.
CONTINUE READINGFIA EPTA responds to HMT and FCA consultations on reforming the Senior Managers & Certification Regime
FIA EPTA has responded to HM Treasury and to the Financial Conduct Authority in parallel consultations on reforms to the Senior Managers & Certification Regime. FIA EPTA members strongly support reform of the SMCR as a unique opportunity to support the UK’s competitiveness and growth objectives.
CONTINUE READINGExchange outages highlight need for stronger action on market outage protocols in Europe
FIA EPTA has joined AFME and EFAMA in a call on stock exchanges to improve outage management. The associations set out four priorities to support more resilient markets.
CONTINUE READINGFIA EPTA responds to EBA consultation on non-ICT third-party risks
FIA EPTA has responded to a European Banking Authority consultation regarding draft guidelines on the sound management of third-party risk with regard to non-ICT related services. FIA EPTA members support robust risk management and the EBA’s efforts toward the enhancement of operational resilience. However, we have significant concerns regarding the proposal’s legal basis, proportionality, misalignment with the EU simplification and growth agenda, and the EBA’s cost-benefit analysis.
CONTINUE READING