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About 319 results for "fia financial regulations"

Don't let Regulation Choke Innovation

This year's FIA IDX International Derivative Expo kicked off with a pointed note of caution to regulators from FIA's president and CEO Walt Lukken. He said that the industry is facing some real challenges from new regulatory regimes and their costs ... Finextra Research, 2 weeks ago

Irish SPVs and The Regulation On Transparency Of Securities Financing Transactions

What is the regulation on transparency of securities financing transactions? The Regulation on Transparency of Securities Financing Transactions (the SFTR ) Regulation (EU) 2015/2365 was approved by the European Parliament on 29 October 2015 and ...
 Lexology1 week ago
The Trade News

Brexit could mean divergence with EU derivatives laws, says FIA

Trade bodies representing the global futures market has urged the UK not to diverge from European regulation on derivatives, following Britain's vote to leave the EU. According to the Futures Industry Association (FIA) in a memorandum on the ...
 The Trade News6 days ago

Lukken at IDX 2016: We need a balance between regulations and room for growth

Walt Lukken's opening remarks at IDX 2016, as prepared for delivery. Welcome to the 9th annual FIA IDX Conference! I hope you enjoyed that photo montage. One good thing about being head of the FIA is that I can infuse my musical playlists into ...
 FIA3 weeks ago

Lincoln Financial: FIA World Now A Long Bore Through A Hard Board

Lincoln Financial's CEO says the fixed indexed annuity industry might need one of these. The CEO of a large variable annuity seller said Thursday he expects VAs will have a market advantage in dealing with the Department of Labor's fiduciary rule ...
 Insurance News Net1 month ago

Bridging the Week: Report Cards; EFRPs; Market Disruption; HFT; Algorithmic Trading; Cybersecurity [VIDEO]

Spring semesters may not yet have ended at local schools and colleges, but the Financial Industry Regulatory Authority last week distributed early report cards to its members on potential spoofing and layering activity that they or their clients may ...
 National Law Review1 month ago

FIA issues fourth version of Guide to Customer Fund Protections

WASHINGTON, D.C., Nov. 25, 2014—FIA today issued an updated version of its guide to the rules and regulations relating to customer fund protections in the U.S. The guide, which was first issued in February 2012, provides futures commission ...
 FIA2 months ago FIA issues Guide on the Development and Operation of Automated Trading Systems  FIA2 months ago

Summary of key EU and US regulatory developments relating to derivatives

Hogan Lovells Summary of key EU and US regulatory develop 1ments relating to derivatives June 2016 Contents Our Global Derivatives and Structured Products Practice Meet the team Overview The Volcker Rule- Proprietary Transactions ...
 Lexology1 week ago

16 June Pre-IPO markets: who wants a slice of the cake?

If payments was the first segment of financial services to get revolutionised by technology and lending was the second then many believe the disruption and democratisation of the wealth and asset management industry is next. The tech transformation ...
 Bobsguide1 week ago
IOL

The real measure of your attitude to risk

This article was first published in the first-quarter 2016 edition of Personal Finance magazine. Mismanaged investment risk is a common cause of abrupt, unhappy endings to relationships between consumers and their financial advisers. So says Geoff ...
 IOL2 weeks ago
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