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                  • November 26, 2019

                    NFA Highlights FY19 Initiatives and Enforcement Activities

                    In its Annual Review, NFA highlighted certain initiatives and summarized enforcement activity for Fiscal Year 2019.
                  • November 26, 2019

                    CFTC Division Reports on Annual Enforcement Metrics

                    In a 2019 Annual Report, the CFTC Division of Enforcement reviewed key metrics from the past year, including the number of cases filed and the amount of relief provided.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • November 20, 2019

                    CFTC Chair Heath Tarbert Calls for Principles-Based Approach to FinTech

                    CFTC Chair Heath Tarbert called for a "predominately principles-based approach" to regulating digital assets and other FinTech products.
                    bzwirb's picture
                    Commentary by Bob Zwirb
                  • November 18, 2019

                    NYDFS Superintendent Proposes Streamlined Disclosure Processes for Legal Counsel and Independent Auditors

                    New York State Department of Financial Services Superintendent Linda A. Lacewell proposed regulation designed to streamline the disclosure processes of confidential supervisory information to legal counsel and independent auditors.
                  • November 15, 2019

                    Chair Jay Clayton Talks SEC Approach to Regulatory Modernization

                    SEC Chair Jay Clayton described agency efforts to modernize the regulatory framework, emphasizing the importance of operating within the limits of its regulatory authority.
                  • November 14, 2019

                    House Financial Services Committee Considers Bills to Protect against Predatory Debt Collection Practices

                    The House Financial Services Committee considered several bills intended to address and prevent predatory debt collection practices.
                  • November 12, 2019

                    Trade Associations Urge European Commission to Extend Temporary Equivalence of UK CCPs

                    A group of fourteen trade associations urged the European Commission to grant an extension for the temporary equivalence for UK central counterparties until certain regulatory implementations have been made under EMIR 2.2 and until the European Securities and Markets Authority.
                  • October 31, 2019

                    CFTC DSIO Director Clarifies Goals of Thematic Review Program

                    ​CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling provided clarification on the CFTC's announcement that it would conduct "targeted thematic reviews" of CPOs and swap dealers.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • October 31, 2019

                    Federal Register: FDIC and Federal Reserve Board Ask for Feedback on "CAMELS" Rating System

                    The FDIC and Federal Reserve Board notice and request for feedback on the use and effectiveness of ratings assigned under the Uniform Financial Institutions Rating System was published in the Federal Register.
                  • October 24, 2019

                    Federal Register: CFTC Proposes Extending Initial Margin "Phase Five" Implementation

                    A CFTC proposal to extend the implementation date of initial margin requirements for 2020 and 2021 was published in the Federal Register.
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