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MFA Comment Letters

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Topic: transaction cost

MFA Comments on SEC Decimalization Roundtable05.01.13


Managed Funds Association submitted a comment letter to the Securities and Exchange Commission (SEC) on decimalization and a tick size […]

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Topics: Securities and Exchange Commission SEC, decimalization, tick test, minimum tick sizes, equity markets, efficiency, Investor Protection, hedge fund managers, registered investment adviser, registration, adviser registration, private investment pools, pension, endowment, Foundation, insurance companies, transaction cost, retail investors, NASD, National Association of Securities Dealers, stocks, small cap stocks, market intermediaries, market research, Market Information Data Analytics System, MIDAS, liquidity, trading volume, initial public offering, IPO, Grant Thornton Capital Markets Series, dark pools, institutional investors, bid-ask spread, market liquidity, market efficiency,

MFA and AIMA Submit Comments to CFTC on Cross-Border Guidance08.28.12


MFA and AIMA jointly submitted a comment letter to the Commodity Futures Trading Commission (“CFTC”) on its “Proposed Interpretive Guidance […]

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Topics: CFTC Commodity Futures Trading Commission, interpretive guidance, swaps, Alternative Investment Management Association, AIMA, financial crisis, over-the-counter derivatives, OTC derivatives, OTC derivatives market, hedge fund industry, fund of funds, hedge fund managers, prime brokers, hedge fund administrator, market participants, non-U.S. market participants, regulatory requirements, commodity pool, pooled accounts, collective investment vehicles, non-U.S. investment fund, Securities and Exchange Commission, SEC, international harmonization of regulations, regulatory framework, duplicative regulation, transaction cost, compliance costs, U.S. person, non-U.S. persons, derivatives, derivatives markets, Corporation, partnership, limited liability companies, joint-stock company, fund, pension plans, estate, Trust, income tax, Jill Sommers, Scott O'Malia, cost-benefit analysis, market impact, third country, European Securities and Markets Authority, ESMA, direct or indirect ownership, Look Through, shareholders, listed entity, foreign banks, banks, dealers, commodity pool operator, CPO, Form CPO-PQR, financial stability, financial system, chief compliance officer, risk management, swap data recordkeeping, swap data reporting, commodity swaps, clearing, swaps processing, margining, segregation, uncleared swaps, execution, portfolio reconciliation, real-time public reporting, trade confirmations, Business Conduct Standards, qualified eligible person, accredited investors, general partnerships, registration, CPO registration requirements, counterparties, swap dealer, major swap participants, MSPs, swap data repository, sell-side firms, buy-side firms, entity-level requirement, reporting party, comment letter, transaction-level requirements, majority ownership, G20, G20 commitments, substituted compliance, transparency, Policy Makers, European Parliament, Council of the European Union, Hong Kong, Hong Kong Monetary Authority, Securities and Futures Commission, Monetary Authority of Singapore, Singapore, International Organization of Securities Commissions, IOSCO, Department of the Treasury, natural person, foreign entity, Dealer, fiduciary, International Monetary Fund, International Bank for Reconstruction and Development, Inter-American Development Bank, Asian Development Bank, African Development Bank, United Nations,

Comment Letter to ESMA on Draft Guidelines for Systems and Controls in a Highly Automated Trading Environment10.03.11


MFA submitted comments to ESMA on its consultation paper on Guidelines on systems and controls in a highly automated trading […]

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Topics: highly automated trading platform, investment firm, competent authorities, electronic trading services, direct market access, DMA, sponsored access, SA, high frequency, trading, HFT, institutional investor, registered manager, authorized manager, private investment fund, pension, endowment, Foundation, insurance companies, transaction cost, liquidity, transaction fees, market access, market information, market efficiency, order handling rules, regulation ATS, broker dealers, low latency technology, market maker, retail investors, service providers, algorithm, fiduciary, market centers, market intermediaries, electronic trading, order entry capacity, throttling, flooding,

Comment Letter on Proposals Responding to Events of May 6, 201009.12.10


MFA submitted a letter and appendix to the SEC-CFTC Joint Advisory Committee on Emerging Regulatory Issues commenting on the market […]

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Topics: Securities and Exchange Commission SEC, Commodity Futures Trading Commission, CFTC, Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues, institutional investors, registered investment advisers, private investment pools, pensions, endowments, foundations, insurance companies, hedge fund, fund of funds, managed futures funds, industry service providers, transaction cost, fees, transparency, global financial crisis, liquidity, Dow Jones Industrial Average, Market Break of 1962, low latency technology, equity market, order handling rules, regulation ATS, Regulation NMS, New York Stock Exchange, NYSE, dark pools, high frequency trading, market manipulation, market makers, broker-dealer, margin requirements, buyers, sellers, bid-ask spread, retail investors, speed bumps, Execution Speeds, Over-the-Counter Derivatives Markets, OTC derivatives markets, derivatives, flash crash,
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