Financial regulation has a direct impact on many FIX member firms and how they conduct their business.  The FIX Trading Community is independent and neutral, focused on transparency, operational efficiency and mitigating risk.  FIX responds to regulations with a focus on promoting the use of global standards to deliver clear and unambiguous data.

This page is a repository of documented responses provided by the FIX Trading Community in addressing regulatory requirements across the globe.

Current Consultations

UK Financial Conduct Authority (FCA) – CP 22/12 Consultation on Wholesale Markets Review (equities, July 2022)

Due: 16 September 2022

Drafting timelines: Mid August (1st draft), start September (2nd draft)

Owner: EMEA Governance Board (contact Maria Netley)

https://www.fca.org.uk/publication/consultation/cp22-12.pdf

 

Regional Repository

Please visit the below links to view previous responses submitted on behalf of the FIX Trading Community.

Asia-Pacific

Responses

Americas

Responses

Global

Responses

Documentation

Asia Pacific

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SFC-FIX Response to OTC Derivatives Regulatory Regime in Hong Kong

106.04 KB 183 downloads August 27, 2012
FIX responded to a consultation from the SFC on the OTC Derivatives regulatory regime...
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ASIC-FIX Adopted for Short Position Reporting

184.20 KB 227 downloads August 12, 2010
FIX welcomes the Australian Securities & Investments Commission (ASIC™s) adoption...

    EMEA

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    ESMA Opinion on Trading Venue Perimeter - Response

    81.46 KB 6 downloads April 28, 2022
    FIX Trading Community response to ESMA's opinion regarding the Trading Venue Perimeter,...
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    ESMA DLT (distributed ledger technology) Pilot

    88.01 KB 1 downloads March 31, 2022
    FIX Trading Community response to ESMA's call for evidence for the "DLT Pilot Regime...
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    RTS 1 and 2 Consultation Response

    235.06 KB 10 downloads September 23, 2021
    ESMA CONSULTATION RESPONSE – FINAL RESPONSE ...
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    ESMA - MiFID II_MiFIR CP on transaction reporting_refdata

    285.54 KB 77 downloads December 11, 2020
    FIX Trading Community response to the ESMA consultation paper on MiFIR review report...
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    ESMA - Technical Standards on reporting_data quality_data access

    170.84 KB 94 downloads July 3, 2020
    03 July 2020 - This document is the FIX response to the ESMA consultation paper on...
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    ESMA Consolidated Tape Consultation Paper - FIX Response

    249.39 KB 102 downloads September 13, 2019
    06 September, 2019 - The FIX Trading Community provided a response to the ESMA CP...
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    ESMA MiFID II FIX Response Discussion Paper

    669.67 KB 170 downloads February 16, 2017
    ESMA MiFID II FIX Response Discussion Paper ...
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    ESMA MiFID II FIX Response Consultation Paper

    436.30 KB 222 downloads February 14, 2017
    ESMA MiFID II FIX Response Consultation Paper ...
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    FIX Trading Community Response to ESMA CP 23 March 2016

    508.10 KB 359 downloads March 23, 2016
    Response to ESMA CP 23 March 2016 ...
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    ESMA_MiFID II FIX Consultation Response_2014_1570

    366.09 KB 319 downloads February 27, 2015
    This document is a response to the ESMA MiFID II/MiFIR Consultation Paper 2014_1570...
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    FSB-FIX Response to Feasibility Study on Approaches to Aggregate OTC Derivatives Trade Repository Data

    28.33 KB 93 downloads February 28, 2014
    FIX response to the FSB's consultative paper focused on options for aggregating OTC...
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    CESR - FIX Response for Establishment of a European Consolidated Tape

    0.00 KB 98 downloads November 2, 2010
    Following consultation with the FIX EMEA Regulatory Subcommittee, FIX produced a...
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    ESMA MiFID II FIX Response Covering Letter

    112.45 KB 110 downloads February 15, 2008
    ESMA MiFID II FIX Response Covering Letter ...
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    CESR - Changes to FIX for MiFID

    288.32 KB 283 downloads October 22, 2006
    A link to the gap analysis - Changes to FIX for MiFID. ...
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    CESR - FIX Response for Transparency and Reporting under MiFID Call for Evidence

    177.36 KB 239 downloads April 14, 2006
    FPL has issued a response to the call for evidence by CESR, who invited interested...

      Americas

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      IIROC - FIX Adopted for Market Surveillance and Transaction Reporting

      52.24 KB 162 downloads May 6, 2009
      FIX is pleased to announce that it has developed an Extension Pack which will enable...
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      OCC - Options Symbology Initiative

      57.98 KB 133 downloads October 16, 2008
      This implementation guide includes the recommended approaches to implement the OSI...
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      NYSE - Rule 80A Account Type Indicators

      168.00 KB 152 downloads January 8, 2008
      In response to the evolution of program trading activities in the marketplace, NYSE...
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      NASD - OATS Phase III FIX Gap Analysis

      174.00 KB 104 downloads May 18, 2006
      NASD - OATS Phase III FIX Gap Analysis ...
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      SEC - FIX Response to Securities Transactions Settlement

      383.65 KB 100 downloads June 15, 2004
      FIX filed a response to the SEC Concept Release entitled Securities Transactions...

      Global (IOSCO)

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      IOSCO - FIX Response to Harmonisation of the UPI

      265.41 KB 90 downloads February 24, 2016
      Harmonisation of the UPI ...
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      IOSCO - FIX Response to CR02/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency

      479.21 KB 74 downloads August 12, 2011
      FIX's Response to IOSCO Consultation - CR02/11 Regulatory Issues Raised by the Impact...