News from the economy, politics and the financial markets
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What Good Plan Providers Would Fix First If They Took Over Your 401(k) Tomorrow
Whenever I hear One Day More from Les Misérables, I’m reminded that change always arrives with noise, urgency, and a little fear. In the musical, every character stands on the edge of tomorrow wondering what will happen when the sun rises. A 401(k) transition feels the same way. Plan sponsors worry about disruption, participants worry about their balances, and providers worry about whether anyone will actually read the emails they send. If a competent plan provider walked in tomorrow to take...By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
United States: Dele-great!: CFTC Staff Allows CPO Delegation Structures to Remain Intact
As previously discussed in our client alert, the industry celebrated the no-action relief from registration as a commodity pool operator (CPO) (the Relief). The Relief, however, raised certain questions in connection with the Commodity Futures Trading Commission (CFTC) staff’s class delegation relief under CFTC No-Action Letter No. 14-126 (Letter 14-126), which requires that the “Designated CPO” to whom the non-registrant (i.e., the “Delegating CPO”) delegates CPO responsibilities be a...By: K&L Gates LLP
Unfinished Business: FINRA’s Proposed Rule 2210 Changes on Projections Fall Short of Marketing Rule Alignment
FINRA’s reproposed amendments to Rule 2210 would permit broker-dealers to include projected performance and targeted returns in marketing materials subject to certain conditions but fall short of full alignment with the SEC's Marketing Rule for investment advisers. Comments are due March 18, 2026....By: Morgan Lewis
5 Common Myths About Schedule III & The Truth About What Cannabis Rescheduling Means for 280E, Banking Reform, the FDA and More
When news broke in December of 2025 that President Trump was issuing an executive order directing the Attorney General to expedite the rescheduling of cannabis, the industry response was one of mixed celebration and trepidation. Many cannabis businesses have been desperate for tax-relief through rescheduling for decades, having paid an estimated $2.2 billion in tax overpayments compared to other American industries. Cannabis business owners are eager to see an end to prohibition-era federal...By: Vicente LLP
Interplay between MiCAR and PSD2: EBA on the end of the No Action Letter transition period (UPDATE)
On 12 February 2026, the European Banking Authority (“EBA”) issued an Opinion advising national competent authorities (“NCAs”) on actions to take once the transition period set in the EBA No Action Letter of 2 June 2025 (“NAL”) – allowing crypto-asset service providers (“CASPs”) to temporarily provide some payment services – comes to an end (i.e. starting from 2 March 2026)....By: Hogan Lovells
[Webinar] Navigating Internal Audit, Cyber Risk, and Regulatory Expectations in Broker-Dealer Operations - March 25th, 12:30 pm ET
Join K2 Integrity for a practical discussion on the intersection of internal audit, cybersecurity, and regulatory oversight in the broker-dealer space using real-word case studies. By the end of this session, you will be able to: - List the emerging risks shaping broker-dealer internal audit priorities, including cyber-enabled fraud, market-integrity expectations, and growing third-party dependencies. - Describe FINRA supervisory and examination expectations, including how firms can use...By: K2 Integrity
[Video] Compliance into the Weeds: Carrots and Sticks in Washington: Antitrust Whistleblowers and an FCPA SOL Extension
The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it more fully. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly look at two recent developments sending a common message to compliance teams. First, DOJ antitrust official Daniel Glad warns that a new...By: Thomas Fox - Compliance Evangelist
Part 1: The Audit as an Enforcement Gateway
Recent enforcement signals from UK regulators have made one thing clear: Fraud risk, and how organisations identify, assess and respond to it, is firmly back in the spotlight. Public statements from the Serious Fraud Office throughout 2025 confirm that the Economic Crime and Corporate Transparency Act (ECCTA) and the new Failure to Prevent Fraud (FTPF) offence are active enforcement priorities......By: Ankura
The Art of the Two-Step: Multitiered Deals and the AI Valuation Gold Rush
I have been a Silicon Valley deal lawyer long enough to have seen more fundraising fads than a venture-backed closet has hoodies. But every so often, something comes along that makes me put down my cold brew and pay attention. The multitiered deal is that thing right now. The Wall Street Journal calls it “back-to-back or multitiered” fundraising. I would describe it more plainly as selling the same house twice in the same afternoon, at two very different prices, and somehow getting both buyers...By: Foley & Lardner LLP
SEC Staff Issues FAQs Regarding Fund-of-Funds Arrangements
Who may be interested: Registered Investment Companies; Registered Investment Advisers; Compliance Officers - Quick Take: On March 5, 2026, the staff of the SEC’s Division of Investment Management (Staff) issued new FAQs addressing Rule 12d1-4 under the 1940 Act (FoF Rule). The FoF Rule establishes a regulatory framework governing how registered investment companies and business development companies (BDCs) (together, acquiring funds) may invest in other funds....By: Seward & Kissel LLP
FINx follow up: Tokenisation questions answered
What did Jersey’s tokenisation audience still want to know after Jersey Finance's #FINx2025? Senior counsel Sarah Townsend re-grouped with fellow panellists to work through the questions they didn't have time to address during the event, focusing on the practical issues that matter most to managers, innovators and investors....By: Walkers
[Webinar] CLE Last Dash | Bankruptcy and Its Alternatives: A Practical Decision-Tree for Distressed Businesses - March 25th, 10:00 am - 11:00 am PT
Businesses under financial stress rarely have a single “right” answer—especially in today’s environment of tighter credit, contested valuations, and heightened litigation risk. In this one-hour, practical CLE, Keith Banner and Uzzi Raanan will walk attendees through a decision-tree for navigating bankruptcy and its key alternatives, including consensual workouts, forbearance arrangements, UCC/Article 9 strategies, assignments for the benefit of creditors (ABCs), and receiverships, and how to...By: Greenberg Glusker LLP
[Video] Daily Compliance News: March 11, 2026, The Takes a Bite Edition
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional. Top stories include: • What did the FCPA pause do? (Just Security):...By: Thomas Fox - Compliance Evangelist
Colorblind?: Investors Allege Tricolor’s Lenders and Underwriters Ignored Persistent Red Flags
The historic collapse of the now-bankrupt subprime auto dealer and auto finance company Tricolor Holdings LLC and its affiliates (“Tricolor”) has been unfolding since September 2025, after public reporting that Tricolor’s lenders had discovered allegedly fraudulent activity related to Tricolor’s collateralization practices....By: Cadwalader, Wickersham & Taft LLP
“Sealed According to Law”: The First Loan Closings in Antiquity – Part II
In this two-part article, the author presents an overview of what various ancient textual artifacts “remember” about the earliest loan closings known to history and their participants, exploring the commercial lending practices of ancient Mesopotamia and Egypt, a region often designated by scholars as the “Ancient Near East.” In the first part, published in the February 2026 issue of The Banking Law Journal, the author introduced the topic. Originally published in The Banking Law Journal -...By: Burr & Forman
HUD-Insured Multifamily Loans: Key Considerations for Borrowers and Lenders
HUD-insured multifamily loans remain one of the most stable sources of long-term financing for apartment, affordable housing, and healthcare projects, particularly during periods of market volatility and constrained conventional lending. While HUD financing offers attractive features, including long-term fixed interest rates, higher leverage, and generally non-recourse structures, it also involves a structured approval process requiring early planning and coordinated execution....By: Shutts & Bowen LLP
Good Faith and Fair Dealing in Fund Finance Transactions
EXECUTIVE SUMMARY: Every contract is subject to an implied duty of good faith and fair dealing pursuant to principles established under common law, state statutes, and, with respect to certain contracts, including fund finance credit documentation, the Uniform Commercial Code (“UCC”)....By: Mayer Brown
Why Doesn’t the CFPB Publish Useful Affordable Housing Data?
One of the top political themes in 2026 politics is “affordability”. Most people would argue that affordable housing should be at the top of the “affordability” crisis. The single most important database when it comes to the financing of housing in the United States is extracted from the Home Mortgage Disclosure Act, or “HMDA”....By: GeoDataVision
UK FCA Webpage On The Use Of s.21 Approvers By Cryptoasset Firms
The UK Financial Conduct Authority (FCA) has published a new webpage with information for cryptoasset firms that are currently using the services of an FCA-authorised firm to approve their cryptoasset financial promotions. Cryptoasset firms that are not authorised under the Financial Services and Markets Act 2000 (FSMA) or registered with the FCA under The Money Laundering, Terrorist Financing, and Transfer of Funds (Information on the Payer) Regulations 2017 (MLRs) (including overseas firms)...By: A&O Shearman
Competition Appeal Tribunal Rejects Subsidy Control Challenge In Lottery Case
Last week, the Competition Appeal Tribunal (CAT) decided The New Lottery Company v Gambling Commission. This is the second case in which the CAT has decided a subsidy control case in favour of the public authority, applying the ‘Commercial Market Operator (or CMO) principle’ set out in Section 3(2) of the Subsidy Control Act 2022. The CAT found that that the Gambling Commission’s decision in July 2023 to contribute GBP70.21 million to Camelot’s marketing activity for the National Lottery was...By: DLA Piper
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