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FIA Law and Compliance presents: Complying with CFTC Rule 1.73 for Give-Ups Webinar A Discussion of the FIA Give-Up Screening Agreement

FIA Law and Compliance presents: Complying with CFTC Rule 1.73 for Give-Ups Webinar A Discussion of the FIA Give-Up Screening Agreement

9 April 2013 2:30pm EDT

The industry has been working to meet the June 1 deadline to comply with CFTC Rule 1.73 that requires executing firms to agree to screen customer orders for limits established by clearing firms with respect to give-up transactions. The FIA Law & Compliance Division has created a standard version of a “screening agreement,” which can be modified, for executing and clearing brokers to agree to screen for such limits. The agreement will be available on FIA Tech’s electronic give-up agreement system (EGUS) in mid-April. This webinar will walk you through the provisions of the agreement and how it can be used to comply with Rule 1.73. We will also provide a brief overview of how the agreement can be executed on EGUS. (This agreement is not applicable to separate requirements in CFTC Rule 1.73 which relate to Account Managers executing Bunched Orders.)

Introduction: 

Maria Chiodi, Director and Counsel, Legal & Compliance, Credit Suisse Securities and President, FIA Law and Compliance Division

Speakers:

Kimberly Johns, Vice President & Associate General Counsel, Goldman Sachs
James Woods, Chief Technology Officer, FIA Technology Services

Attachments

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CFTC_Rule_173_Give_Up_FAQs.pdf (89.38 KB)
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Agreement for Executing Broker to Screen for Clearing Broker Limits.pdf (46.38 KB)
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Rule 1.73 Give Ups Proposed Solution.pdf (56.09 KB)
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Procedural Guidance 1.73 (a)(2)(iv) Futures Give Ups.pdf (41.35 KB)
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EGUS_Give-Up_Screening_Agreement_040813.pdf (4.98 MB)

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