Videos
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CFTC’s jurisdiction over fraud in the cash markets: are there any limits?
The Dodd Frank Act added a Section 6(c)(1) to the Commodity Exchange Act, entitled “Prohibition Against Manipulation.” Section 6(c)(1) authorized the CFTC to promulgate rules and regulations prohibiting any person to use or employ any manipulative or deceptive device or contrivance in connection with, among other things, a contract for sale of any commodity in interstate commerce.
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FIA Best Practices for Exchange Risk Controls Presentation at CFTC TAC Meeting, October 2019
FIA Best Practices for Exchange Risk Controls
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ETD Volume - September 2019
Worldwide volume of exchange-traded derivatives was 3 billion contracts in the month of September, down 11.7% from the previous month but up 27.2% from September 2018
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FIA announces fintech startups chosen for fifth annual Innovators Pavilion
FIA today announced that 20 companies have been chosen to exhibit in the FIA Innovators Pavilion at the 35th Annual Futures and Options Expo, which will take place in Chicago on Oct. 29-31.
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Opening remarks of FIA President and CEO Walt Lukken at FIA Forum: Frankfurt 2019
Opening remarks of FIA President and CEO Walt Lukken at FIA Forum: Frankfurt 2019
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FIA questions new OCC capital management plan in SEC letter
FIA submitted a letter to the SEC that raises concerns about the Options Clearing Corporation’s (OCC) proposed new capital management plan.
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FIA’s FMC requests flexibility for permissible investments for FCMs
FIA’s Financial Management Committee submitted a petition for more flexibility for FCMs to invest customer funds in safe and liquid financial instruments under applicable CFTC rules.
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FIA responds to CFTC, SEC on non-default losses
FIA responded to both the CFTC and the SEC on ICE Clear Credit’s proposed rule amendments to allocate non-default losses for investment losses and custodial losses to clearing members.
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18 September 2019
Please see attached an updated agenda for 18th September FIA Europe Operations Committee meeting. It now includes an item (3(i)) on EMIR Reporting position pairing & matching and John Graham (cc’d), who runs the FIA Reporting Working Group, will provide an update.
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FIA and ISDA call for further changes to CFTC rules for derivatives clearinghouses
FIA and ISDA sent a joint comment letter today in response to the CFTC’s call to enhance the rules governing various aspects of the Core Principles applicable to derivatives clearing organizations (DCOs). FIA and ISDA support many of the Commission’s proposed clarifications of and amendments to the regulations applicable to DCOs. However, the two trade associations recommend that the Commission amend or re-issue certain proposed rule changes to ensure that the regulatory framework supports the transparent, efficient and safe clearing of derivatives.
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