Videos
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CFTC, FERC & SEC updates for CCOs
The regulatory landscape for chief compliance officers is rapidly changing as companies enter new markets, each with different rules of engagement.
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Summary of new EFRP rules and Q&A with the CME Group
The CME Group is instituting changes to its exchange-for-related positions rules (Rule 538 and accompanying guidance).
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Five years’ of providing a voice to the EU principal trading industry
This summer, FIA EPTA marked the 5th anniversary of its foundation. Although still a comparatively young organisation, this milestone has caused the people, like myself, who were there at the start to reflect upon how things have changed since we’ve been in business – as well as looking forward to what the next five years might bring.
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Insider trading under the Commodity Exchange Act
The CFTC’s new fraud-based anti-manipulation rule, Rule 180.1, provides it with broad authority to prosecute the misappropriation of material non-public information; often referred to as “insider trading.”
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New action on CFTC automated trading rules
At a CFTC meeting last week, Chairman Tim Massad outlined the Commission’s fall priorities.
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Greg Wood joins FIA as SVP of Global Industry Operations and Technology
Walt Lukken, president and CEO of FIA, announced that Greg Wood has been hired as the Senior Vice President of Global Industry Operations & Technology.
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Back to school on HFT
Over the summer, while college students interned, families vacationed, and the world watched the Olympics, several teams of academics put trading activity under a microscope and came up with some interesting observations about today’s electronic marketplace.
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What’s the big deal about source code?
At a Congressional hearing in July, members of the House Agriculture Committee sought feedback on the CFTC’s proposed regulation on automated trading (Reg AT).
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FIA raises jurisdictional concerns about CFPB proposal on arbitration agreements
FIA responded to a proposed rule from the Consumer Financial Protection Bureau (CFPB) on pre-dispute arbitration agreements, raising significant concerns with the rule's scope.
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FIA welcomes regulatory focus on central counterparty risk
FIA welcomes today’s publication of reports from the Committee on Payments and Market Infrastructures (CPMI), the International Organization of Securities Commissions (IOSCO), and the Financial Stability Board (FSB) as an important step in ensuring the safety and resilience of the derivatives clearing infrastructure globally (CPMI-IOSCO consultative document available here, FSB discussion paper available here).
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