Videos
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FOA response to the Consultation Paper on Exemption for market making activities
FOA response to the Consultation Paper on Exemption for market making activities
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Response to Proposed Amendment to CFTC Large Trade Reporting Rules
Response to Proposed Amendment to CFTC Large Trade Reporting Rules
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FIA issues guidance on systems and controls for electronic trading environments
This document supports and seeks to provide more detailed guidance on the implementation of, amongst other things, the ‘Guidelines on systems and controls in an automated trading environment’ (ESMA Guidelines).
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FOA Guidance on Systems and Controls for Electronic Trading Environments
FOA Guidance on Systems and Controls for Electronic Trading Environments
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CFTC Grants Certain Relief for Rule 1.73
CFTC staff granted an extension of time to comply with certain provisions of the clearing member risk management rule, Rule 1.73, which is scheduled to go into effect on October 1, 2012.
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Seg Funds Revisited: Industry Response to Peregrine and MF Global Collapses
Seg Funds Revisited: Industry Response to Peregrine and MF Global Collapses
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FOA Response to Financial sector resolution: broadening the regime (Cm8419)
FOA Response to Financial sector resolution: broadening the regime (Cm8419)
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FOA response to ESMA Consultation Paper on Draft Technical Standards for Regulation of OTCs, CCPs and Trade Repositories
FOA response to ESMA Consultation Paper on Draft Technical Standards for Regulation of OTCs, CCPs and Trade Repositories
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FIA issues model disclosure form to assist FCMs in complying with CFTC regulation 1.71
On July 13, the FIA issued a model disclosure form to assist futures commission merchants in complying with Regulation 1.71, a Commodity Futures Trading Commission rule that establishes information barriers between FCMs and affiliated swap dealers and major swap participants and requires FCMs to disclose to their customers conflicts of interest in the provision of trade execution or clearing services.
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