News from the economy, politics and the financial markets
In this section of our news section we provide you with editorial content from leading publishers.
Latest news
White collar crime and the EU
In the world of financial crime compliance, the first half of 2025 was dominated by news of the pause on enforcement of the Foreign Corrupt Practices Act (FCPA) by the US Department of Justice. As a result, more attention was drawn to enforcement agencies in other jurisdictions, including the UK and the EU, which in some cases were issuing increasingly robust public statements of their intent to ensure that financial crimes were rigorously investigated and prosecuted....By: White & Case LLP
SEC Looks to Increase "Qualified Client" Thresholds for Performance-Based Compensation
The Securities and Exchange Commission (SEC) issued Release No. IA-6955 on March 27, 2026, providing notice of its intent to increase the dollar amount thresholds under Rule 205-3 of the Investment Advisers Act of 1940 (the Advisers Act). The new thresholds, which determine whether a person is a "qualified client" eligible to be charged performance-based compensation, are expected to become effective approximately 60 days after issuance of the formal order (likely in mid-2026). Investment...By: Baker Donelson
Estados Unidos propone normas para la implementación de la Ley Genius
La Oficina del Contralor de la Moneda (OCC) publicó una propuesta de reglamentación para implementar la Ley GENIUS (Guiding and Establishing National Innovation for U.S. Stablecoins Act), la nueva ley federal que establece el marco regulatorio para la emisión de stablecoins de pago en Estados Unidos....By: Holland & Knight LLP
The Perils of AI-Generated Legal Advice for Dealers and Finance Companies
It's a busy day for operations. Customers are everywhere, and business is good. You need to respond to a question about a payment convenience fee. Originally published in Spot Delivery® - March 2026....By: Hudson Cook, LLP
DOL Proposes Rule Clarifying ERISA Fiduciary Duties in Selecting 401(k) Investment Options
The Department of Labor (“DOL”) has released a proposed regulation titled, Fiduciary Duties in Selecting Designated Investment Alternatives (“Proposed Rule”), intended to clarify how ERISA fiduciaries satisfy their duty of prudence when selecting and monitoring investment options offer under participant‑directed defined contribution plans (e.g., 401(k) or 403(b) plans)....By: Seyfarth Shaw LLP
UK FCA updates guidance in Payment Services and Electronic Money Approach Document on contactless limits
The UK Financial Conduct Authority (FCA) has published a revised version of its Payment Services and Electronic Money Approach Document, updating its guidance on exemptions from strong customer authentication (SCA)...By: A&O Shearman
Troutman Pepper Locke Weekly Consumer Financial Services Newsletter – April 2026
To keep you informed of recent activities, below are several of the most significant federal events that have influenced the Consumer Financial Services industry over the past week....By: Troutman Pepper Locke
The DOL Makes Its Case: Show Your Work
If you are tired of keeping track of which retirement plan investments are deemed “good” and which are suddenly “bad”, we have encouraging news. The Department of Labor’s (“DOL’s”) latest proposed rule goes back to the fundamentals and our favorite mantra—it’s not what you pick, it’s how you pick it....By: Seyfarth Shaw LLP
Foreign direct investment reviews 2026: A global perspective
As regulatory scrutiny intensifies and geopolitical developments reshape cross-border investment, understanding the evolving global foreign direct investment landscape has become increasingly important....By: White & Case LLP
Cybersecurity and Operational Resilience: A Board-Level Imperative
Cybersecurity and operational resilience have become defining boardroom issues in recent years. Escalating cyberattacks on financial services, critical infrastructure and supply chains, combined with evolving regulatory expectations and activist scrutiny, demand that directors adopt a proactive, strategic approach to cyber risk oversight....By: Akin Gump Strauss Hauer & Feld LLP
UK FCA regulatory priorities reports for wholesale markets and wholesale buy side
The UK Financial Conduct Authority (FCA) has published its regulatory priorities reports for the wholesale markets and wholesale buy side sectors. These reports replace the FCA's previous portfolio letters and aim to provide a clearer and more consistent articulation of regulatory expectations....By: A&O Shearman
Welcome to The Crypto Zone Part II: What Can We Find Here?
We began this series with Part I: Where Are We? by reviewing the background, developments, and implications of current global and national regulatory and tax frameworks for digital assets. In Part II: What Can We Find Here? I look at what taxpayers can find as they consider the types of income they receive from crypto activities....By: ASKramer Law
IOSCO consultation on good practices concerning OTC commodities derivatives markets
The International Organization of Securities Commissions (IOSCO) has published a consultation report on good practices concerning over-the-counter (OTC) commodity derivatives markets....By: A&O Shearman
UK FCA Bans Executive Director For Fostering A Culture Of Non-Compliance
The UK FCA has banned Kasim Garipoglu from working in UK financial services, finding that he lacked the honesty and integrity required to be considered fit and proper. This action continues the FCA’s focus on individual accountability and compliance culture issues, illustrating the importance of “tone from the top”....By: A&O Shearman
2025 HMDA Modified Loan Application Register Data Published
The CFPB has announced that Home Mortgage Disclosure Act (HMDA) Modified Loan Application Register (LAR) data for 2025 are now available on the Federal Financial Institutions Examination Council’s (FFIEC) HMDA Platform for about 4,768 HMDA filers....By: Ballard Spahr LLP
United States: 401(k) Plan Access to Alternative Investments–DOL Seeks to Clarify Fiduciary Duties and Proposes “Safe Harbor”
On 30 March 2026, Department of Labor (DOL) issued a proposed rule, in response to President Trump’s August 2025 executive order, that seeks to clarify DOL’s position on fiduciary duties in connection with the selection of investment options for participant-directed individual account plans (e.g. 401(k) plans) – including investment options that feature exposure to alternative assets – and would establish a “safe harbor” for fiduciaries who follow a prudent process in making available such...By: K&L Gates LLP
[Video] LathamTECH In Focus: The Opportunities and Challenges of Corporate Venture Capital
In this episode of LathamTECH in Focus, Bay Area partner Alex Kassai breaks down the opportunities and challenges of corporate venture capital, as well as how corporate investors and target companies can achieve their strategic objectives....By: Latham & Watkins LLP
UK Pensions: Joint DB and DC trustee agenda update—April 2026
Welcome to our monthly update on current legal issues for trustees of DB and hybrid pension schemes, designed to help you stay up to date with key developments between trustee meetings and to support the legal update item on your next trustee agenda....By: A&O Shearman
UK regulators final policy on operational incident and third-party reporting
The UK Financial Conduct Authority (FCA), the UK Prudential Regulation Authority (PRA) and the Bank of England (BoE) have published final policy statements setting out a co‑ordinated framework for operational incident and third‑party reporting. This follows consultations published in 2024....By: A&O Shearman
Digital or Else: Proposed Regulations Would Nix Paper Crypto Payee Statements
Recently proposed regulations would authorize crypto brokers to deliver payee statements exclusively in electronic format. On March 5, 2026, the IRS and Treasury issued proposed regulations that, if finalized, would allow crypto brokers to offer Form 1099-DA payee statements digitally and not in paper form....By: Cadwalader, Wickersham & Taft LLP
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