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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 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...

12/10/2025 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...

12/3/2025 4:28:34 PM

FCA Publishes Final Rules on Systematic Internaliser Regime for Bonds and Derivatives and Matched Principal Trading by MTF Operators

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

On 28 November 2025, the Financial Conduct Authority (FCA) published a policy statement (PS25/17) finalising rules proposed in its July...

12/2/2025 11:26:44 PM

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

By Carl Kennedy Matt Kluchenek Zachary Schmitz

For years, the Commodity Futures Trading Commission (CFTC or Commission) has exercised broad discretion in investigating and prosecuting...

11/26/2025 4:06:04 PM

Improving UK Transaction Reporting: FCA Consults on Streamlined Framework

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

On 21 November 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/32) setting out proposed reforms to the...

11/25/2025 10:36:33 PM

State-Level Digital Asset Licensing: What to Watch as We Head Into 2026

By Dan Davis Michael Didiuk Carl Kennedy +1 more...

California, Louisiana, and Illinois have established comprehensive crypto licensing frameworks that mirror New York’s BitLicense regime. ...

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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

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

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

GENIUS ACT – Banking Regulators Prepare to Publish Proposed Rules

FCA Publishes Final Rules on Systematic Internaliser Regime for Bonds and Derivatives and Matched Principal Trading by MTF Operators

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

Improving UK Transaction Reporting: FCA Consults on Streamlined Framework

State-Level Digital Asset Licensing: What to Watch as We Head Into 2026

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