Cftc concept release on risk controls and system safeguards for automated trading. Risk controls and automated market systems have been a key topic for market regulators in view of recent markets events. This week the CFTC issued a concept release titled Risk Controls and System Safeguards for Automated Trading (here). The Release seeks comments regarding risk controls in a.

Cftc concept release on risk controls and system safeguards for automated trading

Using Diversification to Win at Day Trading

Cftc concept release on risk controls and system safeguards for automated trading. CFTC Technology Advisory Committee. Concept Release on Risk. Controls and System Safeguards in Automated Trading. Environments. 1. Version January 16th

Cftc concept release on risk controls and system safeguards for automated trading


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The Concept Release addresses the evolution from human-centered to automated trading environments and seeks comment on a series of pre-trade risk controls, post-trade measures, system safeguards and other protections applicable to trading platforms and other categories of market participants.

Its original comment period closed on December 11, For the reasons set forth below, the Commission is reopening the comment period for the Concept Release beginning on January 21, Interested parties may submit comments on or before February 14, The comment period for the Concept Release published September 12, 78 FR is reopened as of January 21, , and extended until February 14, Please submit comments by only one method.

All comments should be submitted in English or accompanied by an English translation. Comments will be posted as received to http: You should submit only information that you wish to make available publicly.

The Commission reserves the right, but shall have no obligation, to review, prescreen, filter, redact, refuse, or remove any or all of your submission from http: All submissions that have been redacted or removed that contain comments on the merits of the rulemaking will be retained in the public comment file and will be considered as required under the Administrative Procedure Act and other applicable laws, and may be accessible under FOIA.

The Concept Release provides an overview of the transition from human-centered to automated trading environments, reviews the Commission's regulatory response to date and existing industry practices, and describes a series of pre- Start Printed Page trade risk controls, post-trade measures, system safeguards and other protections applicable to trading platforms and other categories of market participants.

The Commission requests comment on a broad range of topics including, among other things, the extent to which certain risk controls have been adopted by industry, whether there is a need for regulatory action on such risk controls in order to provide more uniform risk mitigation across Commission-regulated derivatives markets, and the appropriate stage in the lifecycle of an order at which risk controls should be placed.

The Commission is reopening the comment period for the Concept Release beginning on January 21, , and ending on February 14, Parties who previously submitted comments on the Concept Release, but did so after the original December 11, , comment deadline, are invited to resubmit their comments so that they may be properly considered. Parties presenting relevant materials during the January 21, , meeting of the Commission's Technology Advisory Committee are invited to submit such materials for inclusion in the comment file.

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