The FDIC has proposed a major overhaul of its IDI resolution planning rule that would streamline resolution submissions to focus on information that the FDIC believes is most critical. Ch...

In this issue, we discuss a Risk Alert issued by the SEC’s Division of Examinations regarding conflicts of interest involving investment advisers, and a recent enforcement action agains...

FinCEN and the federal banking agencies have taken additional steps to implement the AML/CFT and sanctions compliance obligations under the GENIUS Act through proposed rules related to Cu...

On 27 May 2026, the Hong Kong Monetary Authority and the Securities and Futures Commission issued guidance to registered and licensed entities relaxing certain regulatory expectations for...

Between January and April 2026, the SEC filed 57 actions against a combined total of 112 defendants and respondents. (These figures exclude follow-on actions, bars, and suspensions.) Ther...

The SEC and CFTC have jointly requested public comment as they consider updating classification rules for innovative financial products, including event contracts and perpetual contracts.

Recent Hong Kong District Court decision highlights the importance of adopting clear language when drafting the governing law and jurisdiction clauses in Chinese to avoid costs, delays, a...

The UK’s new public offer platform regime allows companies to use electronic platforms, operated by firms authorised by the UK’s Financial Conduct Authority, to offer securities to a ...

The Department of Labor released its highly anticipated proposed rule that aims to expand access to alternative investments by 401(k) and other individual account plans. Although a step i...

The Hong Kong Court of Appeal has recently handed down two decisions clarifying that award challenges cannot be used to avoid compliance with anti-suit injunctions or reopen ancillary iss...