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Protection of customer funds - frequently asked questions
This document, first issued in February 2012, has been prepared by members of the FIA Law and Compliance Division and contains questions and answers addressing the basics of (i) segregation, collateral management and investments, (ii) minimum financial and other requirements for futures commission merchants and joint FCM/broker-dealers, and (iii) derivatives clearing organization guarantee funds.
CONTINUE READINGFIA New Member Profile – Metropolitan Stock Exchange of India
Established in 2008 as a platform for currency derivatives, MSE has evolved into a multi-asset exchange offering equity cash, equity derivatives and currency derivatives, anchored by its flagship benchmark index, the SX40. Backed by a diverse mix of institutional shareholders and strategic market participants, MSE combines product innovation and technology-first infrastructure with the credibility of established capital market partners, offering an alternative in India’s dynamic exchange ecosystem.
CONTINUE READINGSafeguarding Customer Funds
This course has been jointly developed by NFA, FIA, and industry professionals to help market participants understand the safeguards in place to protect customer funds in the futures market. It is designed to meet Commodity Futures Trading Commission Rule 1.11 that mandates annual training for all finance, treasury, operations, regulatory, compliance, settlement, and other relevant officers and employees within the organization.
CONTINUE READINGUnderstanding & Avoiding Spoofing Behavior
Preventing manipulation of derivatives markets, and spoofing behavior, in particular, is a priority for both exchanges and regulatory authorities. This course draws on recent cases to cover the basics of spoofing and how to avoid activity that may constitute or appear to be spoofing behavior. It also provides guidance on what to consider when designing a supervision and compliance program.
CONTINUE READINGExchange Trading & Regulatory Fundamentals for Electronic Traders
The training is designed to provide a better understanding of the basics of electronic trading including activities likely to draw attention from regulators. It also covers exchange rules most likely to impact traders such as pre-execution communications, cross trades, self-match trades, test trades, position limits and order-to-trade ratios.
CONTINUE READINGRules & Regulatory Guidance for CME Group Markets
This course has been produced jointly by FIA and the CME Group to help market users understand and comply with some of the most important trade practice rules of the CME, CBOT, NYMEX and COMEX. Topics include wash trades, position limits, disruptive trading practices, block trades and pre-execution communications.
CONTINUE READINGRules & Regulatory Guidance for ICE US
This course, produced jointly by FIA and ICE US, is designed to help market users understand and comply with some of the most important trading rules of the exchange. Content covers disruptive trading practices, wash trades, position limits, block trades, exchange-for-related-positions, and pre-arranged trades.
CONTINUE READINGKey Regulatory & Trading Requirements for Eurex
This course has been produced jointly by FIA and Eurex. The training provides an overview of select rules and regulations that govern the daily activities of Eurex market participants. For traders of Eurex contracts and their supervisors, this course covers the supervisory structure, the trader admission process, reporting obligations and off-book trading T7 Entry Services.
CONTINUE READINGTrade Surveillance & Regulatory Guidance for the Singapore Exchange
This course has been jointly developed by FIA and the Singapore Exchange to help market participants understand and comply with key trading rules. It is accredited by the Institute of Banking and Finance (IBF) for a total of 2.0 training hours towards SFA Continuing Professional Development.
CONTINUE READINGKey Features and Regulatory Framework of the London Metal Exchange
This course has been jointly developed by FIA and the London Metal Exchange to help familiarize new and existing LME market participants with key features. The course covers member types and privileges, prompt date structure, lending rules, market abuse regulations, reporting, and post-trade functions.
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