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11/21/2025 12:06:18 PM

UK EMIR Update: Intragroup Exemption Consultations and Additional Q&As

By Carolyn Jackson Ciara McBrien James Wells

On 5 November 2025, HM Treasury (HMT) published a draft statutory instrument, the Over-the Counter-Derivatives (Intragroup Transactions)...

11/19/2025 5:42:54 PM

FINRA Case Involving Gifts and Entertainment

By Richard Marshall

On October 21, the Financial Industry Regulatory Authority (FINRA) filed a settled enforcement action involving allegedly improper gifts...

11/19/2025 5:38:29 PM

State Regulators Announce Enforcement Priorities

By Richard Marshall

On October 16, the North American Securities Administrators Association (NASAA) published the enforcement priorities for state securities...

11/19/2025 5:32:56 PM

SEC Chairman Prioritizes Public Offering Reforms; Trump Signals Renewed Scrutiny of Proxy Advisers

By Richard Marshall

Recent developments indicate a dual focus on regulatory reform for public companies, with the SEC Chairman Paul Atkins prioritizing...

11/17/2025 10:06:01 PM

SEC Chairman Calls for a Fairer Wells Process: Reinforcing Due Process and Transparency in Enforcement

By Susan Light Alex Kim

Securities and Exchange Commission (SEC) Chairman Atkins recently spoke at Fordham Law School for the “25th Annual A.A. Sommer, Jr....

11/14/2025 3:54:48 PM

After the 43‑Day Shutdown: What CFTC Market Participants and Registered Entities Should Expect

By Carl Kennedy

The federal government’s 43‑day shutdown — which ended with a late‑evening November 12 funding bill and next‑day return to duty for...

11/6/2025 3:53:35 PM

Are You Using 'Finfluencers': Practical Guidance for CFTC-Registered Derivatives Intermediaries and Exchanges

By Carl Kennedy

Retail participation in futures, forex and swaps has accelerated markedly in recent years, propelled by low-cost access, mobile platforms...

11/4/2025 4:55:44 PM

Court Dismisses Overly-Technical Claim That FDCPA Applies to Communications With Vendors Mailing Collection Letters

By Ted Huffman

The Fair Debt Collection Practices Act (FDCPA) imposes various requirements on debt collectors aimed to protect consumers’ privacy rights...

11/3/2025 2:37:09 PM

Keeping it Short: FCA Consults on Implementation of Streamlined UK Short Selling Regime

By Christopher Collins Carolyn Jackson Nathaniel Lalone +3 more...

On 28 October 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/29) proposing significant changes to the...

10/29/2025 6:11:24 PM

Regulatory Compliance in Leveraged ETF Sales Practices

By Michael Diver Richard Marshall Alex San Martin

The Wall Street Journal reported last week that “Popular Leveraged Funds Shock Investors With Huge Losses.” It is important to...

10/29/2025 2:19:57 PM

FCA Sets Out T+1 Settlement Expectations for UK Asset Managers and Alternative Firms

By Christopher Collins Carolyn Jackson Nathaniel Lalone +3 more...

On 23 October 2025, the Financial Conduct Authority (FCA) published a letter directed at firms within its Asset Management and...

10/21/2025 1:06:30 PM

FCA Consults on Fund Tokenisation and Direct Dealing

By Christopher Collins Ryan Hansen Thomas Laurer +5 more...

On 14 October 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/28) setting out proposals to advance fund...

10/20/2025 11:26:05 AM

UK Regulators Transfer MiFID Organisational Regulation into Domestic Rulebooks

By Carolyn Jackson Nathaniel Lalone Neil Robson +3 more...

On 9 October 2025, the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) published policy statements PS25/13...

10/16/2025 8:14:11 PM

If It’s Broken, Please Fix It: The CFTC Proposes to Resolve Compliance Challenges for Swap Dealers

By Carl Kennedy Eli Krasnow Nicholas Gervasi

The Commodity Futures Trading Commission (“CFTC” or “Commission”) proposed targeted amendments (“Proposal”) to its business conduct and...

10/13/2025 2:26:25 PM

From Enforcement to Empowerment: SEC Chairman Paul Atkins Charts a New Regulatory Approach for Digital Assets

By Carl Kennedy Michael Didiuk Alex Kim +1 more...

Securities and Exchange Commission (SEC) Chairman Paul S. Atkins promoted a forward-looking regulatory agenda centered on innovation,...

10/8/2025 6:16:55 PM

CFTC Acting Chairman Pham Outlines a Technology‑Neutral Approach to Digital Assets and Agency Modernization

By Carl Kennedy Alex Kim

At the Futures and Derivatives Law Report Digital Asset Leadership Summit, Commodity Futures Trading Commission (CFTC) Acting Chairman...

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UK EMIR Update: Intragroup Exemption Consultations and Additional Q&As

FINRA Case Involving Gifts and Entertainment

State Regulators Announce Enforcement Priorities

SEC Chairman Prioritizes Public Offering Reforms; Trump Signals Renewed Scrutiny of Proxy Advisers

SEC Chairman Calls for a Fairer Wells Process: Reinforcing Due Process and Transparency in Enforcement

After the 43‑Day Shutdown: What CFTC Market Participants and Registered Entities Should Expect

Are You Using 'Finfluencers': Practical Guidance for CFTC-Registered Derivatives Intermediaries and Exchanges

Court Dismisses Overly-Technical Claim That FDCPA Applies to Communications With Vendors Mailing Collection Letters

Keeping it Short: FCA Consults on Implementation of Streamlined UK Short Selling Regime

Regulatory Compliance in Leveraged ETF Sales Practices

FCA Sets Out T+1 Settlement Expectations for UK Asset Managers and Alternative Firms

FCA Consults on Fund Tokenisation and Direct Dealing

UK Regulators Transfer MiFID Organisational Regulation into Domestic Rulebooks

If It’s Broken, Please Fix It: The CFTC Proposes to Resolve Compliance Challenges for Swap Dealers

From Enforcement to Empowerment: SEC Chairman Paul Atkins Charts a New Regulatory Approach for Digital Assets

CFTC Acting Chairman Pham Outlines a Technology‑Neutral Approach to Digital Assets and Agency Modernization

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