About a-team Marketing Services
The knowledge platform for the financial technology industry
The knowledge platform for the financial technology industry

A-Team Insight Briefs

ICE Futures Waives Voice Recording, Time-stamping Requirements

Subscribe to our newsletter

ICE Futures US has granted temporary relief to intermediaries from the obligation to comply with certain requirements, including from the requirement to make and keep records of oral communications, as long as a written record is provided instead. The exchange has also granted relief from any requirement to record the date and time by time-stamp or other timing device, provided that a record of the date and time is kept to the nearest minute, for example by instant message or email. Previously, the exchange confirmed that floor brokers and impacted intermediaries would be allowed to work from different locations.

The Commodity Futures Trading Commission (CFTC) has supported these measures, issuing its own no-action letters confirming relief from both oral communications recording and time-stamping for brokers, swap dealers, forex dealers, and members of designated contract markets and swap execution facilities.

Subscribe to our newsletter

Related content

WEBINAR

Recorded Webinar: Sponsored by FundGuard: NAV Resilience Under DORA, A Year of Lessons Learned

The EU’s Digital Operational Resilience Act (DORA) came into force a year ago, and is reshaping how asset managers, asset owners and fund service providers think about operational risk. While DORA’s focus is squarely on ICT resilience and third-party dependencies, its implications extend deep into core operational processes that are critical to market integrity, investor...

BLOG

Re-Architecting Regulatory Reporting with REGnosys and Open Source

Regulatory reporting has long been defined by highly specialized jurisdictional knowledge, templates, spreadsheets, and a significant part of the compliance budget. Regulators publish new requirements, firms interpret them independently, technology teams build extraction and transformation layers, and operations teams reconcile outputs before pushing formatted datasets to supervisory authorities. RegTech Insight sat down with regulatory reporting...

EVENT

TradingTech Summit London

Now in its 15th year the TradingTech Summit London brings together the European trading technology capital markets industry and examines the latest changes and innovations in trading technology and explores how technology is being deployed to create an edge in sell side and buy side capital markets financial institutions.

GUIDE

Connecting to Today’s Fast Markets

At the same time, the growth of high frequency and event-driven trading techniques is spurring demand for direct feed services sourced from exchanges and other trading venues, including alternative trading systems and multilateral trading facilities. Handling these high-speed data feeds its presenting market data managers and their infrastructure teams with a challenge: how to manage...