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CFTC Self-Reporting, Cooperation, and Remediation Advisory: A Game-Changer
The CFTC recent issued an Enforcement Advisory that provides what market participants have sought for years: clear guidelines and concrete incentives for self-reporting, cooperation, and remediation. The Advisory contains a simple matrix that sets forth the presumptive discounts that a market participant would receive for self-reporting and cooperation, as well as detailed explanations of how market participants can make themselves eligible for those discounts. This advisory transforms how market participants should approach the decision of whether to report a potential violation to the Commission and how to defend a potential violation that is being investigated by the Commission.
CONTINUE READINGExchange Briefing: ASX
Join FIA and ASX on 3 April for a webinar where ASX will present a summary of an update on the ClearStar Program. The session will cover key progress, a proposed roadmap (subject to consultation), stakeholder engagement activities, an overview of the consultation process, and a summary and next steps of the TradeAccept consultation paper.
CONTINUE READINGFIA Forum: Treasury Clearing 2025
FIA is coming to New York in May to explore the evolution of agency clearing.
CONTINUE READINGPredictions, Perps, Protocols: Trends in Market Structure and Innovation
Sullivan & Cromwell’s Commodities, Futures and Derivatives team will discuss (1) recent developments in market structure, including the 24/7 trading, decentralized finance, vertical integration and direct access models and (2) new products, including perpetual derivatives and event contracts. The webinar will cover relevant updates from the CFTC and SEC, as well as Congress, the courts and the industry.
CONTINUE READINGImproving the Timeliness of Give-Up Processing
How is the industry addressing friction points that cause delays in give-up processing? This webinar features members of the Derivatives Market Institute for Standards who have been actively implementing the Final Standard for Improving Timeliness of Trade Give-Ups and Allocations (30/30/30) released in June 2023. Representatives from brokerage firms and clients will share how they identified and resolved issues causing processing delays, reduced risk and increased the percentage of trades in the right account on T+0.
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 READINGTrends in ETD Trading Q2 2025
FIA’s quarterly review of volume and open interest on derivatives exchanges worldwide. This webinar will provide insights into trends in trading activity in the global listed derivatives markets for the year to date.
CONTINUE READINGState Attorneys General
Recent developments in our space (Coinbase being sued in Oregon, Kalshi preemption litigation, as well as some enforcement trends with activity moving from Federal agencies to state agencies).
CONTINUE READINGTrends in Extraterritorial Enforcement in Derivatives Markets
Bracewell will address issues covering CFTC/DOJ prosecution of Commodity Exchange Act Violations for Non-US Conduct and UK and EU developments.
CONTINUE READINGEMIR 3.0 – ESMA final report on active account requirements
EMIR 3.0: ESMA final report on the Regulatory technical Standards (RTS) specifying the conditions under which the active account requirement (AAR) should be met, as mandated under the European Market Infrastructure Regulation (EMIR) 3.0.
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