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12/23/2025 12:47:42 PM

FCA Consults on Reforms to Client Categorisation and Conflicts of Interest Rules

By Christopher Collins Carolyn Jackson Nathaniel Lalone +2 more...

On 8 December 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/36) proposing significant changes to the...

12/22/2025 9:03:10 PM

New Executive Order to Establish a National AI Policy Framework

By Paul DeMuro Brandon von Kriegelstein

The White House has issued an executive order that establishes a national policy framework for artificial intelligence (“AI”). The order,...

12/22/2025 8:26:11 PM

SEC Clears Path for Tokenized Securities

By Wayne Aaron Michael Didiuk James Brady +3 more...

In a flurry of activity, the Securities and Exchange Commission (SEC) has taken decisive steps to integrate blockchain technology into...

12/19/2025 10:38:14 PM

Marketing Rule Under the Microscope: New SEC Exam Findings

By Adam Bolter Michael Didiuk Richard Marshall

The SEC's Division of Examinations' staff (Staff) issued a Risk Alert on December 16, highlighting additional observations on investment...

12/19/2025 10:02:02 PM

SEC Staff Issues Helpful Guidance on Custodying Digital Asset Securities and Complying with the Customer Protection Rule

By Wayne Aaron Michael Didiuk

On Wednesday, December 17, the SEC’s Division of Trading and Markets (Division) issued a helpful statement (the Statement) to clarify its...

12/19/2025 6:51:04 PM

Congratulations, CFTC Chairman Selig

By Carl Kennedy Dan Davis Michael Didiuk +2 more...

Warm congratulations to the Honorable Michael Selig, who was confirmed by the Senate on December 18 (and sworn in on December 22) as the...

12/17/2025 7:05:33 PM

SEC Risk Alert on the Advisers Act Marketing Rule

By Richard Marshall

On December 16, the Securities and Exchange Commission (SEC) published a risk alert on the adviser marketing rule. This is the first...

12/17/2025 6:56:42 PM

Speech by Director of Division of Investment Management Signals Key Priorities

By Richard Marshall

On December 2, Brian Daly, the new Director of the Division of Investment Management for the Securities and Exchange Commission (SEC),...

12/17/2025 6:37:22 PM

SEC Extends Relief Allowing Brokers to Rely on Advisers for AML Compliance

By Richard Marshall

Earlier this year, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) adopted rules imposing anti-money...

12/17/2025 6:07:20 PM

New SEC Cybersecurity Rules Begin to Take Effect

By Richard Marshall

On May 16, 2024, the Securities and Exchange Commission (SEC) unanimously approved amendments to Regulation S-P, which imposes new rules...

12/17/2025 5:28:47 PM

European Commission Announces Legislative Package to Advance EU Financial Market Integration

By Christopher Collins Carolyn Jackson Nathaniel Lalone +2 more...

On 4 December 2025, the European Commission (EC) released a comprehensive package of measures aimed at removing barriers and enhancing...

12/15/2025 5:23:19 PM

Net Zero Claims Under the Gun

By Chris Cole

What a difference a few years can make. Three years ago, American corporations were falling over themselves to make advertising claims...

12/11/2025 4:51:26 PM

What’s that coming over the hill? – Ofcom’s Heavy Fines for Age Assurance Failures

By Terry Green Larry Wong

Ofcom has stepped up the pressure, firstly, by issuing two new sets of fines, with one reaching up to £1,050,000 for failure to implement...

12/10/2025 5:40:30 PM

Consistent Definitions, Less Confusion: CFTC Divisions Streamline and Harmonize Cross-Border Swap Compliance

By Carl Kennedy Dan Davis Carolyn Jackson

The US Commodity Futures Trading Commission (CFTC or Commission) has taken a significant step toward regulatory clarity and harmonization...

12/9/2025 2:56:11 PM

GENIUS ACT – Banking Regulators Prepare to Publish Proposed Rules

By Dan Davis Carl Kennedy Christina Grigorian +2 more...

As disclosed by recent comments during Congressional hearings,[1] publication of proposed regulations by the federal financial regulators...

12/4/2025 9:10:16 PM

CARB - Enforcement Advisory

By Farzad Damania Ryan Lilley Alexa Rollins +1 more...

On December 1, 2025, the California Air Resources Board (CARB) released an enforcement advisory, announcing that it will not enforce...

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FCA Consults on Reforms to Client Categorisation and Conflicts of Interest Rules

New Executive Order to Establish a National AI Policy Framework

SEC Clears Path for Tokenized Securities

Marketing Rule Under the Microscope: New SEC Exam Findings

SEC Staff Issues Helpful Guidance on Custodying Digital Asset Securities and Complying with the Customer Protection Rule

Congratulations, CFTC Chairman Selig

SEC Risk Alert on the Advisers Act Marketing Rule

Speech by Director of Division of Investment Management Signals Key Priorities

SEC Extends Relief Allowing Brokers to Rely on Advisers for AML Compliance

New SEC Cybersecurity Rules Begin to Take Effect

European Commission Announces Legislative Package to Advance EU Financial Market Integration

Net Zero Claims Under the Gun

What’s that coming over the hill? – Ofcom’s Heavy Fines for Age Assurance Failures

Consistent Definitions, Less Confusion: CFTC Divisions Streamline and Harmonize Cross-Border Swap Compliance

GENIUS ACT – Banking Regulators Prepare to Publish Proposed Rules

CARB - Enforcement Advisory

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