MFA Comment Letters

Topic: retail clients

MFA Responds to ECON’s MiFID Questionnaire01.13.12


MFA submitted responses to MEP Markus Ferbers Questionnaire on MiFID/MiFAR 2, which asks for further information on certain aspects of […]

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Topics: Economic and Monetary Affairs Committee ECON, European Parliament, Questionnaire on MiFID/MiFIR 2 by Markus Ferber MEP, Markus Ferber, Markets in Financial Instruments Directive, eligible counterparties, custody, safekeeping, MiFID passport, professional clients, retail clients, equivalence, reciprocal access, regulatory capital, corporate governance rules, Securities and Exchange Commission, SEC, European Commission, management bodies, trading venues, corporate governance, broker crossing network, derivatives trading venues, derivatives, voice brokerage systems, alternative investment managers, alternative investment funds, broker dealers, relevant counterparties, clearing obligation, EMIR, European Market Infrastructure Regulation, central limit order book, CLOB, request for quote system, RFQ, algorithmic trading, high frequency trading, market-making activities, correlating instruments, mutual funds, arbitrage trading, high frequency/low latency, liquidity, flash crash, limit up-limit down measure, counterbalancing benefits, regulatory investigation, direct electronic access, DEA, co-location services, circuit breakers, abnormal trading conditions, confidentiality requirements, organized venues, public consultation, third country trading venues, EEA venues, reciprocal recognition, third country firms, straight-through processing, real-time registration, listed futures, listed equity derivatives, energy swaps, bilateral credit agreement, bilateral execution documentation, CCP, risk caps, SME, MTF SME, non-discriminatory access to market infrastructure, pre-trade market data, position limits, alternative arrangements, commodity derivatives, position management powers, hedging transactions, conflicts of interest, structured UCITS, non-structured UCITS, financial activity, shares, depositary receipts, exchange traded funds, ETF, broker liquidity, transparency, trading obligation, confidentiality safeguards, dark pools, approved publication arragement, APA, approved reporting mechanism, ARM, consolidated tape provider, CTP, European Supervisory Authorities, ESA, non-discriminatory access, real-time clearing, UCITS IV, packaged retail investment product, PRIP, organized trading facility, OTF, sanction,

MFA Comments on SEC Regulatory Initiatives Under the Dodd-Frank Act09.22.10


MFA submitted initial comments to the SEC and the CFTC on regulatory initiatives in each agencys purview under the Dodd-Frank […]

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Topics: Commodity Futures Trading Commission CFTC, Securities and Exchange Commission, SEC, financial regulatory system, hedge funds, financial crisis, institutional investors, OTC derivatives market, over-the-counter derivatives market, systemic risk, operational risk, transparency, capital markets, U.S. Banking Industry, Columbia University, Investment Company Institute, Federal Financial Institutions Examination Council, leverage, market discipline, investor confidence, market stability, risk capital, proprietary strategies, international coordination, financial risk, business risk, swap dealer, swap, Counterparty, market maker, futures commission merchant, FCM, futures, Major Swap Participant, msp, non-swap dealer, AIG, initial margin, variation margin, substantial position, offsetting position, clearing, central clearing, liquidity, regulatory capital requirements, creditor, depositor, Tier 1 capital, pension plans, endowments, cleared swaps, uncleared swaps, security-based swaps, collateral, non-bank MSP, Swap Execution Facility, SEF, futures market, risk management, central counterparties, CCP, risk model, customer protection, risk committee, proprietary asset, customer asset, third party custodian, segregation, omnibus account, individual account, reporting, Designated Contract Market, market integrity, physical market, position limits, contract market, commodity trading advisor, CTA, investment adviser, Peavey Commodity Futures Fund no-action letter, commodity pool operator, Financial Stability Oversight Council, FSOC, Office of Financial Research, owned funds, residual value, managed funds, investment portfolio, roll-over, commercial paper, credit exposure, Federal Deposit Insurance Corporation, FDIC, Troubled Asset Relief Program, TARP, Federal Reserve, "too big to fail, bankruptcy law, Bondholder, private investment funds, mutual fund, client, pooled vehicle, pooled investment vehicle, Investor Protection, self-regulatory organization, SRO, investment adviser examination, Comptroller General of the United States, capital formation, Office of Compliance Inspections and Examinations, OCIE, private funds, global banks, retail clients, proprietary information, Confidential Information, Venture Capital Fund, family office, accredited investor, qualified client, knowledgeable employees, transitional relief, performance reports, market makers, Broker, fiduciary, Major Security-Based Swap Participant, MSSP, registration, margin requirement, risk profile, financial entities, Price Manipulation, executive compensation, many-to-many platform, covered financial institution, Incentive-Based Compensation Arrangements, Regulation D, disqalifying felons, Bad Actors, CUSIP number, short selling, Disclosure, price discovery, volatility, retail funds, global market, equity market, herding, Form SH, beneficial ownership, short swing profit reporting, fiduciary standard, Investor Advisory Committee, European Commission, EC, European Union, EU, European Parliament, EP, European Council of Finance Ministers, alternative investment funds, AIFs, SEC-registered advisers, Secretary Geithner, European Commissioner Michel Barnier, U.K. Chancellor of the Exchequer Alistair Darling, non-bank financial companies,
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