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Delegated Regulations Regarding LMTs Under AIFMD And UCITS Directive Published In OJ
The European Commission has published two Delegated Regulations in the Official Journal of the European Union (OJ): (i) Delegated Regulation (EU 2026/465), supplementing the Alternative Investment Fund Managers Directive (Directive 2011/61/EU) (AIFMD); and (ii) Delegated Regulation (EU 2026/466) supplementing the Undertakings for Collective Investment in Transferable Securities Directive (Directive 2009/65/EC) (UCITS Directive). These Delegated Regulations lay down regulatory technical standards...By: A&O Shearman
OCC Issues NPRM Establishing Federal Standards for Stablecoin Issuers Under the GENIUS Act
The Office of the Comptroller of the Currency (OCC) recently issued a Notice of Proposed Rulemaking to implement the Guiding and Establishing National Innovation for U.S. Stablecoins Act (the GENIUS Act), which is the first federal statute to establish comprehensive prudential standards for payment stablecoin issuers....By: Cozen O'Connor
FINRA Record Retention Requirements
For broker-dealers and financial firms, careful recordkeeping is more than just a best practice. There are strict rules on preserving data, such as internal records and social media posts, and these rules are enforced by the Financial Industry Regulatory Authority (FINRA)....By: Hanzo
NYDFS Offers Suggestions on Multifactor Authentication Implementation
The New York Department of Financial Services (NYDFS) held a webinar on Feb. 26 to provide guidance on the Part 500 Cybersecurity Regulation second amendment’s (Part 500) multifactor authentication (MFA) requirements that went into effect last year. The speakers, consisting of NYDFS Cybersecurity Division personnel, provided valuable insights for companies on how they can comply with the new MFA requirements, which we summarize below....By: Paul Hastings LLP
California Announces Acceptance of Digital Asset License Applications Starting 9 March 2026
The California Department of Financial Protection and Innovation (DFPI) recently issued an important industry reminder regarding implementation of the California Digital Financial Assets Law (DFAL). The DFPI noted that it will begin accepting applications today, 9 March 2026, through the Nationwide Multistate Licensing System (NMLS)....By: K&L Gates LLP
Oregon Passes Bill to Opt Out of Federal Rate Exportation
The Oregon legislature has passed a bill to limit an out-of-state bank’s ability to rely on federal interest rate exportation in connection with certain consumer loans. H.B. 4116 is on the Governor’s desk. If the bill is not vetoed, Oregon’s DIDMCA opt out would apply to loans made in Oregon on or after the effective date, which is projected for early June....By: Husch Blackwell LLP
Delegated Regulation On Equity Transparency Under MiFIR Published In OJ
The Delegated Regulation, amending Delegated Regulation (EU) 2017/567 as regards equity transparency requirements under the Markets in Financial Instruments Regulation (MiFIR), has been published in the Official Journal of the European Union (OJ). The amendments follow the EBA's final report in December 2024 and reflect changes introduced by the MiFIR review and the amendments to the second Markets in Financial Instruments Directive (MiFID II)....By: A&O Shearman
Italian SMEs Bill Expands Structuring Options for Inventory Financing Securitizations
The Italian legal framework—including the Italian securitization law No. 130 of 30 April 1999 (the "Law 130")—already permits inventory financing transactions, but few deals have been executed so far due to limited structuring options and the restriction to Italian originators....By: Jones Day
Key Signals from the SEC’s Updated Enforcement Manual: Engagement, Transparency, and Process Discipline
The SEC’s Division of Enforcement (the Division) recently issued an updated Enforcement Manual (the Manual), its first comprehensive revision since 2017. Although the Manual serves as staff guidance rather than as a rule or regulation, it significantly shapes how the Division investigates potential federal securities violations and frames enforcement recommendations to the Commission....By: Cozen O'Connor
5 Things to Know About the SBA’s New MARC Loan Program
The Small Business Administration (“SBA”) recently approved its first loan under its new Manufacturers’ Access to Revolving Credit (“MARC”) loan program. The initiative establishes a new type of credit for certain manufacturers. Below is a high-level overview regarding MARC loans....By: Thompson Coburn LLP
OCC Issues Two Final Rules to Reduce Regulatory Burden on Community Banks (National Banks and Federal Savings Associations and Banks)
The Office of the Comptroller of the Currency (OCC) recently adopted two final rules designed to reduce regulatory burden on community banks. The rules expand streamlined licensing procedures for qualifying community banks and rescind an outdated mortgage data collection regulation that applied only to national banks....By: Ballard Spahr LLP
UK FCA Examples Of Good And Poor Practice For Using Labels Under SDR
The UK Financial Conduct Authority (FCA) has published a new webpage setting out examples of good and poor practice for using labels under the sustainability disclosure requirements (SDR) regime. These examples are based on the FCA's findings on what it has seen through the fund authorisations process for updating pre-contractual disclosures. The FCA reports that applications to update pre-contractual disclosures have improved as firms have become more familiar with the regime and as the number...By: A&O Shearman
[Video] The PFBCon Podcast: From Mic to Millions: AI-Powered Sponsorship, Licensing & Equity Strategies for Podcasters
Shadeed Eleazer, a prominent business architect, licensing strategist, and U.S. Navy veteran based in Maryland, and Host of the Conversational Currency podcast, presents “Mic to Millions” at the Podcasting for Business Conference, focusing on the intersection of podcasting, tech, and monetization. He outlines a roadmap to shift from being a content creator to a licensing-ready business owner by treating a podcast as a long-term asset and using AI as a strategic growth partner for leverage,...By: Thomas Fox - Compliance Evangelist
CSSF Circular 26/906: A Consolidated Framework For Governance And Risk Management In Payment And E-Money Institutions - Effective Governance Has Become Essential As The Payment And Electronic Money Sector Continues To Grow
The Commission de Surveillance du Secteur Financier (CSSF) published its new CSSF circular 26/906 on central administration, internal governance and risk management (Circular) applicable to payment institutions (PIs) and electronic money institutions (EMIs) whose home member state is Luxembourg, including their branches, as well as to Luxembourg branches of PIs and EMIs whose home member state is outside the European Economic Area (Institutions)....By: Herbert Smith Freehills Kramer
Assessing ACCESS: Opportunities and risks
CMS has released the payment amounts and performance targets for its new voluntary ACCESS model – a condition-based, outcomes-driven payment approach that could reshape how chronic care is delivered in Original Medicare....By: McDermott+
Client Alert: FINRA Enforcement Program Enhancements
As part of FINRA’s efforts to improve effectiveness and efficiency through its “FINRA Forward” initiative, FINRA’s Department of Enforcement recently implemented “common-sense improvements” to its program. The improvements, announced by Enforcement Head Bill St. Louis, are guided by Enforcement’s goals to drive transparency, improve efficiency, and provide firms with more opportunities to be heard....By: Maynard Nexsen
European Commission Consults on Private Equity Exits
On 2 March 2026, the European Commission published a targeted consultation on private equity exits and the possible development of multilateral intermittent trading platforms for private company shares....By: Skadden, Arps, Slate, Meagher & Flom LLP
SEC Accounting and Auditing Enforcement Activity—2025 Year in Review
Accounting and auditing enforcement actions (Actions) plummeted to their lowest level in nine years in 2025, the first year of Paul Atkins’s tenure as Chair of the Securities and Exchange Commission (SEC)....By: Cornerstone Research
OCC Proposes Rule Establishing Regulatory Framework for Issuing Stablecoins
The US Office of the Comptroller of the Currency (OCC) published its notice of proposed rulemaking (NPRM) to implement the provisions of the Guiding and Establishing National Innovation for US Stablecoins (GENIUS) Act....By: Cooley LLP
UK Pensions: What’s new this week? March 2026 #2
Welcome to your weekly update from the A&O Shearman Pensions team, covering all the latest legal and regulatory developments in the world of workplace pensions....By: A&O Shearman
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