AIFMD 2.0

AIFMD 2.0 - One Month to Go: What Fund Sponsors Should be Doing Now to PrepareFinReg Timeline 2026 View More…

Broker Dealer

SEC Guidance on the Government ShutdownSEC Adopts Treasury Clearing Rules View More…

Capital Markets

SEC Proposes Significant Overhaul of Filer Status FrameworkSEC Proposes Transformative Offering Reform: Significant Implications for Operating Companies, Registered Closed-End Funds, BDCs, and Other Products View More…

CFIUS/Foreign Investment/Enforcement

Unsheathing its Sword: CFIUS Seeks Judicial EnforcementFrom Bark to Bite: Team Telecom’s Tougher Oversight on Foreign Access View More…

Corporate Transparency

New Interim Rule Removes CTA Reporting Requirements for U.S. Companies and U.S. PersonsPing-Pong Match Appears Over: US Companies Apparently Definitively Relieved of Compliance Obligations Under the Corporate Transparency Act View More…

Derivatives

Swaps or Sportsbooks? The CFTC's Expanding Battle Over Prediction MarketsSEC Releases Statement on Short Sale and Securities Lending Rules Following Remand by 5th Circuit U.S. Court of Appeals View More…

Digital/Crypto Assets

SEC Expected to Propose Trading in Tokenized, Phantom Public Company Common StockSEC Provides No-Action Position on Crypto Trading Interfaces View More…

Enforcement

Swaps or Sportsbooks? The CFTC's Expanding Battle Over Prediction MarketsSEC Rescinds "No-Deny" Settlement Policy: What Changes? View More…

Environmental, Social and Corporate Governance (ESG)

And… Score! Asset Managers’ Proprietary ESG Scoring Under Pressure from the EU ESG Ratings RegulationFinReg Timeline 2026 View More…

FinReg Monthly Update

FinReg Monthly UpdateAnd… Score! Asset Managers’ Proprietary ESG Scoring Under Pressure from the EU ESG Ratings Regulation View More…

HSR/Antitrust/Enforcement

HSR Burdens Lifted: Fifth Circuit Denies FTC Stay, Reinstating Prior HSR Filing RequirementsFTC Releases Shutdown Plan, Will Continue to Accept HSR Filings View More…

Insider Trading

Swaps or Sportsbooks? The CFTC's Expanding Battle Over Prediction MarketsDo Your Insider Trading Policies Cover The Prediction Markets? Should They? View More…

Privacy

SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information View More…

Private Funds

SEC Issues Exemptive Relief for Tender Offers for Equity SecuritiesSEC Provides No-Action Position on Crypto Trading Interfaces View More…

Public Companies

SEC Proposes Significant Overhaul of Filer Status FrameworkSEC Proposes Transformative Offering Reform: Significant Implications for Operating Companies, Registered Closed-End Funds, BDCs, and Other Products View More…

Registered Funds

SEC Proposes Significant Overhaul of Filer Status FrameworkSEC Proposes Transformative Offering Reform: Significant Implications for Operating Companies, Registered Closed-End Funds, BDCs, and Other Products View More…

Regulation of Digital Assets

SEC Releases Commission Interpretation on Application of Securities Laws to Digital AssetsTwo-lane Highway Takes Shape for U.S. Crypto Regulation: Digital Securities Regulation by SEC, “Digital Commodities” Regulated By CFTC View More…

SEC Enforcement

SEC Rescinds "No-Deny" Settlement Policy: What Changes?SEC Expected to Propose Trading in Tokenized, Phantom Public Company Common Stock View More…

Sports Regulatory

Swaps or Sportsbooks? The CFTC's Expanding Battle Over Prediction MarketsKing’s Speech 2024: A Renewed Plan for a Football Regulator View More…

UK/EU Financial Regulation

FinReg Monthly UpdateSFDR 2.0: Draft Parliament position signals direction of travel – implications for private markets View More…

Uncategorized

HM Treasury Consults on the Appointed Representatives RegimeFinReg Monthly Update View More…