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1/23/2026 3:57:46 PM

Marketing Rule Relief for Investment Advisers: SEC Staff Clarifies Flexibility on Model Fees and SRO Disqualifying Events

By Adam Bolter Michael Didiuk

On January 15, Staff from the Securities and Exchange Commission (SEC) published two new frequently asked questions (FAQs) related to the...

1/20/2026 10:10:10 AM

ESAs and UK Regulators Sign Memorandum of Understanding on Cross Border Oversight of Critical ICT Providers under DORA

By Nathaniel Lalone Ciara McBrien

The European Supervisory Authorities (ESAs) and the UK’s Bank of England, Prudential Regulation Authority and Financial Conduct Authority...

1/14/2026 9:40:47 PM

FinCEN Finalizes 2028 Compliance Date for Adviser AML Programs

By Adam Bolter Michael Didiuk

On December 31, 2025, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) finalized a two‑year delay of the...

1/14/2026 6:58:20 PM

Confidential Treatment for Advisers Act Filings: Process Changes and Practical Takeaways

By Michael Didiuk Adam Bolter

Investment advisers may request confidential treatment of certain information in Form ADV and other filings under the Investment Advisers...

1/13/2026 6:16:11 PM

Defining Small: SEC Proposal Could Shift Regulatory Burdens for Advisers and Investment Companies

By Adam Bolter Michael Didiuk

On January 7, the Securities and Exchange Commission (SEC) proposed amendments (the Proposal) to raise the small entity thresholds for...

1/9/2026 8:31:48 PM

FCA Finalises Simplified UK Ancillary Activities Test

By Carolyn Jackson Ciara McBrien James Wells

On 19 December 2025, the Financial Conduct Authority (FCA) published a policy statement (PS25/24) finalising the rules and guidance for...

12/24/2025 5:21:02 PM

CFTC No-Action Reinstates Broad Registration Exemption for Institutional CPOs, Pending Further Action

By Christian Hennion

On Friday, December 19, the Staff of the Commodity Futures Trading Commission’s (CFTC) Markets Participant Division published a new...

12/24/2025 10:18:05 AM

HM Treasury and FCA Publish Comprehensive Cryptoasset Regulatory Framework

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

On 16 December 2025, the Financial Conduct Authority (FCA) published a comprehensive set of proposals to formally regulate the...

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 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...

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Marketing Rule Relief for Investment Advisers: SEC Staff Clarifies Flexibility on Model Fees and SRO Disqualifying Events

ESAs and UK Regulators Sign Memorandum of Understanding on Cross Border Oversight of Critical ICT Providers under DORA

FinCEN Finalizes 2028 Compliance Date for Adviser AML Programs

Confidential Treatment for Advisers Act Filings: Process Changes and Practical Takeaways

Defining Small: SEC Proposal Could Shift Regulatory Burdens for Advisers and Investment Companies

FCA Finalises Simplified UK Ancillary Activities Test

CFTC No-Action Reinstates Broad Registration Exemption for Institutional CPOs, Pending Further Action

HM Treasury and FCA Publish Comprehensive Cryptoasset Regulatory Framework

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

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

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