8/3/2026 10:21:47 AM ESMA Publishes Preliminary Findings on the Active Account Requirement By Christopher Collins Carolyn Jackson Nathaniel Lalone Neil Robson Ciara Watson Eleanor Bines +3 more... Show less Introduction On 6 July 2026, the European Securities and Markets Authority (ESMA) published two important documents on recent...
7/27/2026 8:49:22 AM FCA Sets Out Biggest Overhaul of the UK AIFM Regime Since 2013 By Christopher Collins Neil Robson Thomas Laurer Ciara Watson +1 more... Show less On 14 July 2026, the Financial Conduct Authority (FCA) published CP26/28, launching a consultation on a wholesale redesign of the UK...
7/24/2026 9:37:29 AM HM Treasury Designates Four Critical Third Parties to the UK Financial System By Nathaniel Lalone Ciara Watson On 10 July 2026, HM Treasury (HMT) published a press release announcing the designation of four major global cloud services and...
7/23/2026 7:51:44 PM Prediction Markets Hearing Before the US House Subcommittee on Commodity Markets, Digital Assets, and Rural Development By Carl Kennedy On July 21, I testified before the House Agriculture Committee’s Subcommittee on Commodity Markets, Digital Assets, and Rural Development...
7/21/2026 2:03:51 PM IRS Fixes the ‘1035 Exchange Trap’: What Life Settlement Funds and PPLI Users Need to Know Now By Henry Bregstein Mitchell Fagen The US Department of the Treasury (Treasury) and the Internal Revenue Service (IRS) have just finalized regulations fixing a problem that...
7/15/2026 10:29:47 PM FINRA Considers Substantial Changes to Enforcement Program By Patrick Smith Michael Diver Michael Lohnes Patrick Fallon +1 more... Show less On June 30, the Financial Industry Regulatory Authority (FINRA) released a report (Report) prepared by two outside experts tasked with...
7/7/2026 10:07:48 AM What Matters Now in Private Markets: Eight Takeaways from SuperReturn 2026 By Thomas Laurer Ryan Hansen Each June, SuperReturn International brings together much of the global private markets industry in Berlin, where GPs, LPs, advisers and...
6/29/2026 7:21:30 PM Eight Takeaways From My Conversation with the SEC Crypto Task Force’s Chief Counsel By Michael Didiuk At the Crypto with Katten symposium on June 3, I had the opportunity to sit down with Taylor Lindman, Chief Counsel of the Securities and...
6/24/2026 4:44:21 PM “This Is Your Moment”: Commissioner Peirce Urges Crypto Industry to Build While Regulators Clear the Way By Dan Davis Michael Didiuk Carl Kennedy Adam Bolter Alexa Warner +2 more... Show less “This is your moment. Like, enjoy this moment where you’ve got agencies that want to work with you to build good things, good things that...
6/18/2026 6:22:43 PM Five Predictions for Tokenization in 2027 By Matt Kluchenek Dan Davis Michael Didiuk Carl Kennedy Adam Bolter +2 more... Show less At the recent Crypto with Katten symposium, co-sponsored with the Investment Advisers Association (IAA), Katten hosted a panel on “The...
6/17/2026 2:51:04 PM Supreme Court Rejects Implied Private Right of Action Under Section 47(b) of the Investment Company Act of 1940 By Kevin Broughel Sarah Eichenberger Michael Didiuk Adam Bolter Zoe Lo +2 more... Show less On June 11, the Supreme Court, in a 6-3 decision authored by Justice Amy Coney Barrett, joined by Justices John G. Roberts, Clarence...
6/16/2026 3:11:41 PM Show Me the Fees: SEC Risk Alert Zeroes in on Economic Conflicts of Interest By Adam Bolter Michael Didiuk The SEC’s Division of Examinations(Division) issued a Risk Alert on June 9, highlighting its observations during a review of the economic...
6/11/2026 11:14:22 AM FCA Doubles UK EMIR Commodity Clearing Threshold to EUR 6 Billion By Carolyn Jackson Ciara Watson Eleanor Bines On 29 May 2026, the Financial Conduct Authority (FCA) published Handbook Notice 141, confirming a significant recalibration of the...
6/10/2026 9:53:54 PM Cboe Defends Proposed Disruptive Trading Rule in Response to Industry Pushback By Christian Kemnitz Peter Wilson Zachary Schmitz Casey McClaren Jessica Gracik +2 more... Show less Following the SEC’s determination to seek public comments regarding Cboe’s proposed Rule 8.23 governing disruptive trading practices...
6/10/2026 8:43:44 PM CFTC Eliminates ‘No-Deny’ Settlement Policy By Christian Kemnitz Carl Kennedy Brian Poronsky Sam Bevenour Alexa Warner +2 more... Show less On June 3, 2026, the Commodity Futures Trading Commission (the CFTC or Commission) rescinded its longstanding policy requiring defendants...
6/5/2026 7:28:33 PM NFA Seeks to Ease Member Requirements Regarding Annual Questionnaire Filings and Branch Office Supervision By Carl Kennedy Nicholas Gervasi Alex Kim Gabriela Urias +1 more... Show less The National Futures Association (NFA) submitted two new proposals to the Commodity Futures Trading Commission (CFTC or the Commission)...