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FIA

Global Reach. Regional Expertise.

Committees & Working Groups

Below is a list of FIA Law & Compliance committees.  If you would like to participate in one or more of these committees please contact Beth Thompson at bthompson@fia.org.

 

Anti-Money Laundering

Implementation of FinCEN AML and Customer Due Diligence Rules

 

Audit Trail Committee 

CFTC and Exchange Audit Trail and Recordkeeping Requirements

 

Canadian Issues (FCM Only)

Non-Canadian Foreign Dealer Registration Requirements and Canadian Customer Collateral Rules

 

CFTC Rule 1.31 Recordkeeping Requirements

Comments on CFTC Rule 1.31 Recordkeeping Proposal

 

Chief Compliance Officer Standing Committee (FCM Only)

Legal and Compliance Issues for CCOs of FCMs and Swap Dealers

 

Commodities

Regulatory and Compliance Issues relating to Metals, Energy and Agriculture

 

Department of Labor Fiduciary Rule Implementation (FCM Only)

Updates to FCM disclosures to account for Fiduciary Rule

 

EU Indirect Clearing (FCM Only)

EMIR and MiFIR Indirect Clearing Rules

 

Financial Reform

Recommends improvements and structural reform to federal financial regulations

 

Give Up Agreements (FCM Only)

Review and Update of FIA Standard Customer Give-Up Agreements

 

IRS 871(m)

Assist with Implementation of Rule 871(m) by FCMs

 

Joint Audit Committee 14-03 (FCM Only)

Customer Account Margin Policies

 

Law & Compliance Update

Monthly Report of L&C Activities

 

Netting Opinions (FCM Only)

Netting Opinions in Primary Jurisdictions Where FCMs Operate and Periodic Updates to Opinions

 

Ownership & Control Reporting (FCM Only)

Implementation of CFTC’s OCR Rules

 

Position Limits

CFTC and Exchange Position Limits Rules

 

Regulation Automated Trading

Comments on CFTC RegAT Proposal

 

Risk Disclosure Booklet Refresh

Review and Update of FIA Standard Customer Risk Disclosures

 

 

 

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