About a-team Marketing Services

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: How to automate entity data management and due diligence to ensure efficiency, accuracy and compliance

Requesting, gathering, analysing and monitoring customer, vendor and partner entity data is time consuming, and often a tedious manual process. This can slow down customer relationships and expose financial institutions to risk from inaccurate, incomplete or outdated data – but there are solutions to these problems. This webinar will consider the challenges of sourcing and...

BLOG

Duco Offers Transaction Reporting Eligibility Validator for EMIR

Duco, a provider of Software-as-a-Service (SaaS) AI-powered data automation, has released a transaction reporting eligibility validator that provides an independent validation of internal eligibility rules by using field-by-field comparison of individual financial services firms’ rules versus existing ESMA eligibility requirements. The solution highlights under and overreporting using Duco’s reconciliation and exception management capabilities, and regulatory...

EVENT

TradingTech Briefing New York

Our TradingTech Briefing in New York is aimed at senior-level decision makers in trading technology, electronic execution, trading architecture and offers a day packed with insight from practitioners and from innovative suppliers happy to share their experiences in dealing with the enterprise challenges facing our marketplace.

GUIDE

Regulatory Data Handbook 2023 – Eleventh Edition

Welcome to the eleventh edition of A-Team Group’s Regulatory Data Handbook, a popular publication that covers new regulations in capital markets, tracks regulatory change, and provides advice on the data, data management and implementation requirements of more than 30 regulations across UK, European, US and Asia-Pacific capital markets. This edition of the handbook includes new...