News from the economy, politics and the financial markets
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Don’t Slip: Navigating the Private Equity Waterfall
Being an aspiring commercial lawyer often means being confronted by complex, often abstract, concepts leading to an often impenetrable wall of jargon for students and trainees. Next up in our Legal Lingo series, which we've introduced to help break down this jargon, is an explanation of what is meant by the private equity "waterfall"....By: Ropes & Gray LLP
FCA Confirms Retail Markets Disclosure Rules for Consumer Composite Investments
The new regime is designed to address key issues with the PRIIPs KID....By: Latham & Watkins LLP
Kalshi Files New Lawsuit Challenging Enforcement Actions From Gaming Regulators in Connecticut
In early December 2025, federally regulated derivatives exchange KalshiEX LLC filed suit in the U.S. District Court for the District of Connecticut challenging a cease-and-desist order issued by the Connecticut Department of Consumer Protection (DCP) directing Kalshi to halt operations in the state....By: Troutman Pepper Locke
CFPB Signals Issuance of Interim Final Rules on Section 1071 and Section 1033 Amid Funding Constraints
In two recent litigation status reports, the Consumer Financial Protection Bureau (CFPB or Bureau) indicated that it is working to issue interim final rules for both Section 1071 and Section 1033 in light of an opinion from the U.S. Department of Justice’s Office of Legal Counsel (OLC)...By: Troutman Pepper Locke
Federal Banking Regulators Preview Timelines for Fintech Rules: FDIC Stablecoin Licensing by Year-End and Fed “Skinny” Master Accounts by Q4 2026
Federal banking regulators previewed near-term rulemaking plans that will shape the fintech landscape. The Federal Deposit Insurance Corporation (FDIC) expects to issue a stablecoin licensing proposal “before the end of the year,” and the FDIC reiterated that “a deposit is a deposit” even when tokenized....By: Troutman Pepper Locke
[Video] Regulatory Ramblings: Episode 84 - From Asset Recovery to AI Revolution: Risk, Coordination, and the Future with Sangeet Paul Choudary and Dr. Amber Phillips
The spotlight chat commences with Amber sharing with Regulatory Ramblings host Ajay Shamdasani why accredited financial investigators and asset recovery experts are so important for detecting malfeasance and why many in law enforcement lack the financial backgrounds or sophistication to stay one step ahead of criminals who are often far more financially savvy. The growing role of analytics, data scientists, and AI in financial investigations raises the question of whether veteran investigators...By: Thomas Fox - Compliance Evangelist
The Myth of Financial Wellness in a Vacuum
Every year, I see plan sponsors spend thousands on shiny “financial wellness” programs—apps, webinars, and surveys promising to fix participant behavior. Yet, the same plans still have high loan rates, poor deferral averages, and zero engagement. Why? Because you can’t build wellness on a broken foundation....By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
Property (Digital Assets etc) Act 2025
The Property (Digital Assets etc) Bill has received royal assent and entered the statute book as the Property (Digital Assets etc) Act 2025. The Act gives effect to recommendations of the Law Commission confirming in statute that a thing that is digital or electronic in nature can be recognised as personal property even if it does not fall within the traditional categories of 'things in possession' or 'things in action'....By: A&O Shearman
CFTC Divisions Streamline and Harmonize Cross-Border Swap Compliance
The US Commodity Futures Trading Commission (CFTC or Commission) has taken a significant step toward regulatory clarity and harmonization in the cross-border swaps market. The CFTC’s Market Participants Division (MPD), Division of Clearing and Risk (DCR) and Division of Market Oversight (DMO, collectively with MPD and DCR, the Divisions) jointly issued No-Action Letter 25-42 (Letter 25-42) on December 9, which addresses longstanding inconsistencies in the definitions of “U.S. person” and...By: Katten Muchin Rosenman LLP
The Silent Killer of Retirement Plans: Compensation Definitions
Everyone in the 401(k) business loves to focus on the dramatic stuff. We talk about lawsuits that shake the industry, shocking excessivefee claims, fiduciary scandals that make headlines, and advisors who somehow think providing participant education is the same thing as providing fiduciary advice. But while everyone’s eyes are fixed on the shiny objects, the real danger to most retirement plans quietly hides in the weeds, waiting to strike. It’s not the fees. It’s not the investment lineup. And...By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
Petition for Rehearing Filed in Colorado DIDMCA Opt-Out Case
A group of trade associations has filed a petition for rehearing en banc asking the Tenth Circuit to review a panel decision holding that a state’s right to opt out under Section 525 of the federal Depository Institutions Deregulation and Monetary Control Act (DIDMCA) applies broadly to loans when either the lender or borrower is located in the opt-out state. If the panel’s majority decision stands, out-of-state state banks may not be able to rely on federal interest rate preemption when making...By: Husch Blackwell LLP
NAD’s Newfound Interest in Financial Services
In 2025, the National Advertising Division saw a notable uptick in challenges involving the financial services industry. Historically viewed as a forum focused on categories like food, cosmetics, personal care, household goods, and telecom, NAD is now directing additional attention toward debt-relief, credit-improvement, and broader financial services advertising. That shift is reflected not only in several competitor-initiated challenges but, notably, in two recent monitoring actions NAD opened...By: Kilpatrick
OCC Requests Feedback on Community Banks' Engagement with Core and Essential Service Providers
On November 28, 2025, the Office of the Comptroller of the Currency ("OCC") issued a request for information ("RFI") on community banks' engagement with their core service providers and other essential third-party service providers....By: Hudson Cook, LLP
Real Estate: Market Pulse (December 2025)
Seyfarth’s real estate team provides a bird's-eye view of the current state of commercial real estate throughout the country—highlighting which markets and major asset types are active, slowing down, or experiencing shifts....By: Seyfarth Shaw LLP
OCC and FDIC Withdraw From Leveraged Lending Guidance
Banks subject to the Agencies’ jurisdiction will now be expected to manage leveraged lending using general risk management principles for safe and sound lending....By: Latham & Watkins LLP
Nonprofits Sue to Force CFPB to Accept Funding from the Federal Reserve
Three nonprofit organizations have filed a complaint in the Northern District of California seeking declaratory and injunctive relief to prevent what they describe as a de facto shutdown of the Consumer Financial Protection Bureau (CFPB or Bureau). Their suit targets Acting Director Russell Vought’s refusal to request funding for the Bureau from the Federal Reserve Board (Fed), arguing that Congress designed a statutory provision that provides stable, standing appropriation to support the CFPB’s...By: Troutman Pepper Locke
SEC Division of Investment Management Director Brian Daly Signals Innovation-Forward Agenda, Positioning AI at the Forefront of SEC Strategy
On December 2, 2025, Brian Daly, Director of the Securities and Exchange Commission (the “SEC”) Division of Investment Management (the “Division”), delivered remarks to the American Bar Association outlining the Division’s top priorities under his leadership: deregulation, modernization, democratization, and artificial intelligence (“AI”)....By: Proskauer - Regulatory & Compliance
SEC Again Extends Short Sale and Securities Lending Rules’ Compliance Deadlines to 2028 While It Considers Response to Court Ruling
On December 3, 2025, the Securities and Exchange Commission (the “SEC”) issued an exemptive order to postpone the compliance deadline for Rule 13f-2 under the Securities Exchange Act of 1934 by two years. The new deadline for compliance is January 2, 2028. Rule 13f-2 was adopted in October 2023 and compliance had already been extended one year beyond the original deadline date of January 2, 2025......By: Proskauer - Regulatory & Compliance
FCA Consults on Client Categorisation and Conflicts of Interest Regimes
On 8 December 2025, the United Kingdom’s Financial Conduct Authority (“FCA”) published a consultation paper (CP25/36) on amending its rules on client categorisation and conflicts of interest (the “Consultation Paper”)....By: Proskauer - Regulatory & Compliance
Navigating Regional Sanctions Risks: Insights from the FinCEN Report on Iranian Shadow Banking
In October 2025, the U.S. Financial Crimes Enforcement Network (FinCEN) released its latest Financial Trend Analysis (FTA) on Iranian shadow banking. The report offers one of the clearest pictures to date of how Iran continues to evade international sanctions through global financial and corporate networks....By: Ankura
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