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10 Key Focus Areas for US Bank Regulators in 2026
In this publication, we explore 10 key focus areas for US bank regulators in the year ahead. Building on a fast start in 2025, 2026 is shaping up to be an extraordinarily active year, as US bank regulators continue down their revolutionary path of implementing deregulation, streamlining supervision, and attempting to foster innovation in financial services, including further integrating digital assets into the banking system. In addition, federal and state bank regulators will respond to the...By: Latham & Watkins LLP
SEC May Ban Defendants From the Securities Industry Despite Supreme Court's Jarkesy Precedent
The U.S. District Court for the District of Columbia on January 8, 2026, rejected arguments by two former investment advisers that they could be permanently banned from the securities industry only after a jury trial....By: Parker Poe Adams & Bernstein LLP
G7 CEG Roadmap For Transition To Post-Quantum Cryptography In Financial Services
HM Treasury has published a statement from the G7 Cyber Expert Group (CEG) setting out a high‑level, non‑binding roadmap for a coordinated financial‑sector transition to post‑quantum cryptography (PQC). Building on its previous 2024 statement, the CEG highlights while quantum computing promises significant new capabilities for financial services, these advanced computers will be capable of breaking widely-used cryptographic protocols that protect systems and data. Therefore, the CEG explains how...By: A&O Shearman
UK PRA and FCA Consult On The FSCS MELL for 2026/27
The UK Prudential Regulation Authority (PRA) and the UK Financial Conduct Authority (FCA) have published consultation paper CP1/26, proposing a management expenses levy limit (MELL) of GBP113 million for the UK Financial Services Compensation Scheme (FSCS) for 2026/27. The MELL ensures the FSCS has enough funding to carry out its functions....By: A&O Shearman
2025 State AG Year in Review
State attorneys general (AGs) are among the most active and influential regulators in the U.S., using broad statutory authority, political visibility, and growing technical knowledge to shape policy and enforcement across sectors. In 2025, they asserted their authority to shape the legal and regulatory environment across the U.S. through aggressive and coordinated action. Despite changing regulatory and political priorities, AGs continued to respond quickly to constituent concerns, tested new...By: Troutman Pepper Locke
UK House of Lords Committee Report On Growth Of UK Private Markets And Impact On Financial Stability
The House of Lords Financial Services Regulation Committee has published a report titled "Private markets: Unknown unknowns". The report highlights the rapid global expansion of private markets and raises concerns about the implications of this growth for the UK's financial stability. The Committee's inquiry focused on identifying the drivers of the expansion of private markets and assessing its potential consequences....By: A&O Shearman
UK FCA Update On Advice Guidance Boundary Review – Targeted Support Policy Sprint
The UK Financial Conduct Authority (FCA) has published an update on its advice guidance boundary review – targeted support policy sprint. The six-week sprint, launched in February 2025, brought together 12 firms, including retail banks, investment platforms and wealth managers, to test the FCA's targeted support proposals. As a reminder, the new regulated activity of targeted support aims to allow authorised firms to provide recommendations for pre-defined consumer segments with common needs or...By: A&O Shearman
CSSF Circular 25/901: A simplified and modernized framework for Part II UCIs, SIFs and SICARs with proportionate protections per investor-type
The CSSF’s Circular 25/901 (Circular) consolidates and modernizes the supervisory framework for Luxembourg SIFs, SICARs and Part II UCIs. It replaces several longstanding circulars and codifies CSSF expectations across investment limits, risk-spreading, borrowing, efficient portfolio management, disclosures and operational mechanics, with a risk-calibrated approach tied to investor sophistication....By: A&O Shearman
CRD VI Lands In Italy: A Snapshot Of The Main Changes And Transitional Pathways
On January 8, 2026, Legislative Decree no. 208 of December 31, 2025, was published in the Italian Official Gazette and, save for certain provisions, came into force on January 9, 2026 (hereinafter, the Decree). The Decree transposes into Italy Directive (EU) 2024/1619 (CRD VI) and aligns the domestic framework with Regulation (EU) 2024/1624 (i.e., CRR III), amending the Italian Consolidated Banking Act (ICBA) and the Italian Consolidated Financial Act (ICFA)....By: A&O Shearman
FDIC Unveils Application Process for Stablecoin Issuers Under the GENIUS Act
Banks interested in issuing stablecoins or otherwise operating in a manner which may require licensure (as described below) should now consider the requirements to satisfy their obligations under the Guiding and Establishing National Innovation for U.S. Stablecoins (GENIUS) Act....By: FBT Gibbons LLP
FinCEN Issues Final Rule to Postpone Effective Date of Investment Adviser Rule to 2028
Welcome to Goodwin’s Financial Services News Roundup. Our newsletter highlights important legal, regulatory, and business developments related to financial services and banking....By: Goodwin
IPI Partners, LLC Pays $11.5 Million Penalty for Apparent Violations of Ukraine-/Russia-Related Sanctions Involving Russian Oligarch
On December 2, 2025, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) announced a settlement with IPI Partners, LLC (“IPI”), a Chicago-based private equity firm specializing in data centers, for apparent violations of the Ukraine-/Russia-Related Sanctions Regulations....By: Stankie Law
NYDFS Regulated Entities Face Stronger Cybersecurity Regulations
The New York Department of Financial Services (“NYDFS”) implemented the final phases of amendments to its NYDFS Cybersecurity Regulation (23 NYCRR Part 500) in May and November....By: Ropes & Gray LLP
The new sheriff is in town – AMLA officially received supervisory powers from EBA
As of 1 January 2026, the Authority for Anti-Money Laundering and Countering the Financing of Terrorism (AMLA) has taken over the AML/CFT-related powers and mandates from the European Banking Authority (EBA)....By: McDermott Will & Schulte
Structural Innovation: Master Trusts in Aircraft ABS Transactions
The aviation asset-backed securitization (ABS) market continues to strengthen. Aviation ABS activity in 2025 exceeded US$10.3 billion in public issuances across 16 deals, and several first-time issuers entered the market....By: Vinson & Elkins LLP
Alternative Asset Investment Rule Nears Release
This morning, the White House Office of Management and Budget announced that it has received the proposed rule, “Fiduciary Duties in Selecting Investment Alternative[s]” (the “Proposal”). The Proposal responds to President Trump’s Executive Order, “Democratizing Access to Alternative Assets for 401(k) Investors” (August 7, 2025) (the “Executive Order”)....By: Groom Law Group, Chartered
Supreme Court to Clarify SEC Disgorgement Standards Amid Circuit Split
Seeking to resolve a long-running circuit split regarding the proof of investor harm by the Securities and Exchange Commission (SEC) for purposes of a disgorgement order, the Supreme Court has agreed to hear the appeal of SEC v. Sripetch, recently decided by the Ninth Circuit....By: Parker Poe Adams & Bernstein LLP
Asset Freezes In Germany: What International Companies Need To Know
German authorities are increasingly using asset freezes as a powerful tool in anti-corruption enforcement, with ripple effects that can impact a company’s operations worldwide. German subsidiaries or business operations could face sudden account freezes that threaten liquidity, disrupt operations, and damage reputations, all before a final judgment is rendered....By: DLA Piper
EU and Luxembourg Update on the European Harmonised Rules on Artificial Intelligence—Recent Developments
The European Union (EU) is ushering in a new era of artificial intelligence (AI) regulation with the introduction of the AI act dated 13 June 2024 (AI Act), a comprehensive framework designed to govern the development, deployment, and use of AI systems across the EU....By: K&L Gates LLP
UK Financial Insights from Katten | Issue 29
UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe....By: Katten Muchin Rosenman LLP
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