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Maintaining perfected security interests under the UCC: Top points for foreign lenders
For lenders participating in United States secured lending transactions, maintaining a perfected security interest under the Uniform Commercial Code (UCC) requires ongoing attention beyond the initial filing of a UCC-1 financing statement. Failure to take timely action may result in the automatic lapse of perfection, potentially leaving a lender with an unsecured claim in the event of a borrower's insolvency....By: DLA Piper
Riding the Regulatory Tailwinds: Why Financial Services Remains Ripe for Private Equity Deals
The Australian regulatory landscape continues to be a minefield for financial services businesses. In 2025 we saw ASIC......By: Herbert Smith Freehills Kramer
Critical Tax Developments for Private Equity: what you need to know
There are significant tax developments underway that have the potential to materially impact transaction financing and investment structures in Australia....By: Herbert Smith Freehills Kramer
UK Weekly Sanctions Update - Week of March 23, 2026
In this weekly update, we summarise the most notable updates in the UK sanctions world. Russia - OFSI issues General Licence for activity in relation to the supply, purchase, transportation or delivery of Kazakh oil: On 18 March 2026, OFSI issued General Licence INT/2026/9247168 which authorises PJSC Transneft and its subsidiary to conduct activities in connection with the supply, purchase, transportation or delivery of Kazakh oil, provided that the Kazakh oil is not owned by a person connected...By: Mayer Brown
UK Public Markets Monitor – Q1 2026
Below is our quarterly briefing covering the most important developments for UK PLCs, UK equity capital markets and UK public M&A in Q1 2026....By: Skadden, Arps, Slate, Meagher & Flom LLP
Consumer Sector M&A: High-Conviction Investing in a Selective Market
Consumer investing continues to attract capital despite sustained macro and operating volatility. Inflation, supply chain disruption, shifting channel economics, and rapid changes in digital marketing continue to push brands and investors to evolve, but they have not dampened sponsor interest....By: Ropes & Gray LLP
Classification of Crypto Assets Under Federal Securities Laws
This past Monday, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), published a highly anticipated interpretive release that lays the foundational groundwork for the regulation of crypto assets by the two agencies....By: Patomak Global Partners
The global impact of the UK's new tax adviser registration regime
The UK’s tax authority, HM Revenue & Customs (HMRC), has confirmed that the requirement for UK and non-UK firms of tax advisers to register with HMRC will not apply to asset managers and other firms in the financial services sector before 31 March 2027....By: McDermott Will & Schulte
SEC Speaks 2026: What public companies and investment advisers need to know
The US Securities and Exchange Commission (SEC) participated in the annual SEC Speaks conference on March 19 and 20, 2026, bringing together Commissioners and staff to discuss recent developments and share the agency’s priorities going forward....By: McDermott Will & Schulte
Federal court vacates FinCEN real estate reporting rule obligations
On March 19, 2026, Judge Jeremy Kernodle of the US District Court for the Eastern District of Texas issued an opinion in Flowers Title Cos., LLC v. Bessent vacating the Financial Crimes Enforcement Network’s (FinCEN) final rule extending anti-money laundering requirements to persons involved in certain real estate closings and settlements (Real Estate Reporting Rule)....By: McDermott Will & Schulte
SEC and CFTC Issue Landmark Joint Guidance on Classification of Crypto Assets Under Federal Securities Laws
On March 17, 2026, the Securities and Exchange Commission (“SEC” or “Commission”) and the Commodity Futures Trading Commission (“CFTC”) jointly released interpretive guidance (the “Release”) clarifying when transactions in crypto assets are subject to regulation under federal securities laws....By: Ropes & Gray LLP
Project Crypto’s Sleeper Storyline: Addressing Public Company Pain Points (UPDATED)
A lot is going on over at the SEC to set up a new regulatory framework for cryptocurrency – and maybe you think as a public company junkie that it doesn’t effect you. But it does....By: Cooley LLP
Consumer Financial Services Bites of the Month - March 2026 - "March Wind's Gonna Blow My Blues All Away."
In this month's article, we share some of our top "bites" covered during the March 2026 webinar....By: Hudson Cook, LLP
Nevada Court Issues TRO Against Kalshi as Congress Moves to Restrict Event Contracts
On March 20, 2026, Judge Jason D. Woodbury of Nevada's First District Court granted the Nevada Gaming Control Board's application for a temporary restraining order against Kalshi, a CFTC-regulated event contracts exchange....By: Venable LLP
Attention Employers: Required State-Based Retirement Programs Are Here
A number of states have enacted (or plan to enact) laws that require certain private employers to enroll employees in a state-based retirement savings program. Generally, these rules apply to employers that do not sponsor a qualified retirement plan like a “401(k) plan.”...By: Morrison & Foerster LLP
SEC and CFTC Provide New Toolkit for Determining When a Digital Asset Is a Security
The question of whether or when a digital asset is a security or a transaction involving a digital asset constitutes an offer and sale of a security has been contested by financial regulators and market participants, litigated in courts with seemingly conflicting results and debated by Congress across multiple legislative sessions....By: Paul Hastings LLP
Luxembourg Financial Services Regulator CSSF Updates Its Position on Crypto-Assets in Investment Funds: What Has Changed Since 2022?
In January 2022, we published a client alert1 examining the initial FAQ issued by Luxembourg’s financial sector regulator—the Commission de Surveillance du Secteur Financier (CSSF)—on the use of what it then called “virtual assets” by investment funds and credit institutions. That FAQ set out a cautious but constructive framework, permitting limited indirect exposure for undertakings in collective investments (UCITS) and opening the door to direct investment for certain alternative investment...By: K&L Gates LLP
Stress, Mental Health + the ADA: Key Insights for Financial Services Employers
Work in the financial services industry often is marked by tight deadlines, regulatory scrutiny, and client-driven urgency. Long hours, performance-based compensation, and compliance pressure can make stress a constant companion for those who work in the financial services industry....By: Jackson Lewis P.C.
FinCEN and SEC Impose Historic Fine on Broker-Dealer for AML Violations
On March 6, FinCEN announced a historic enforcement action against Canaccord Genuity LLC, a registered broker-dealer, assessing an $80 million civil money penalty for willful violations of the BSA. FinCEN characterized the resolution as the largest penalty ever imposed on a broker-dealer for BSA violations and described it as a “wake-up call” to the securities industry....By: BakerHostetler
Takeaways From Katten’s Presentation on Alternative Real Estate Investment Strategies for Family Offices
On March 10, Katten Real Estate Senior Counsel Alvin Katz and Timothy Little joined guest speakers from Focus and Dwight Mortgage Trust to discuss alternative real estate investment strategies for family offices. Their presentation explored two different strategies — one that allows investors to partner directly with developers, and another to form debt platform partnerships — and also examined how those deals are structured, key risks investors should consider and the critical negotiation...By: Katten Muchin Rosenman LLP
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