At JWG, through tracking key regulatory bodies including ESMA, FCA, FINRA and CFTC, we have picked up key documents for different legislative initiatives such...

The plight or health of community banks has become a key weapon in the war between supporters and critics of Dodd-Frank and even financial...

The Federal Reserve Board published a final enhanced supervision rule, known as Regulation YY, on 18 February, 2014.  This regulation implements certain provisions of...

Several large Wall Street banks, including Goldman Sachs, Morgan Stanley, and J.P. Morgan, have requested five more years to comply with the Volcker rule,...

With the upcoming presidential election on 8 November 2016 and Trump’s growing popularity in the polls over the past few months, it is becoming...

A brief exchange of correspondence between regulators over the last fortnight has brought aspects of MiFID II’s regulatory technical standards back into question. On 14...

This week, the EU commission published the responses to their call for information on the impact of EU regulation so far.  The FCA’s response,...

After a long week at Davos, there are a number of interesting conclusions from this year’s World Economic Forum.  China appears to have come...

Over the last week, regulators have been signalling that they will not be tolerating risky or illegal finance in 2016 any more than in...
Automated trading, CFTC regulation AT, AT persons

On 24 November 2015, the US Commodity Futures Trading Commission (CFTC) unanimously approved a notice of proposed rulemaking addressing several issues related to automated...