News from the economy, politics and the financial markets
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Regulatory Monitoring - February 2026
The ESRB published a report on financial stability risks from linkages between banks and the non-bank financial intermediation (NBFI) sector. The report focuses on bank funding from NBFI entities and credit exposure to NBFI entities as well as banks’ derivatives exposures to NBFI entities. It finds linkages between banks and the NBFI sector to be significant, and while they do not currently pose acute risks to financial stability, they create important vulnerabilities that could amplify stress...By: A&O Shearman
SEC Charges Credit Fund Adviser Over Principal Transaction Pricing Practices
On February 25, 2026, the U.S. Securities and Exchange Commission (SEC) charged a credit fund adviser with negligence-based anti-fraud violations and breaches of fiduciary duty in connection with the sale of originated loans to affiliated private funds. This enforcement action underscores the SEC’s continued focus on principal transactions and highlights the importance of robust valuation practices......By: Akin Gump Strauss Hauer & Feld LLP
ESMA Statement On Derivatives Within The Scope Of National CFD Product Intervention Measures
The European Securities and Markets Authority (ESMA) has issued a statement reminding firms of their obligations under existing national product intervention measures on contracts for differences (CFDs). The statement is in light of the growing offering of derivatives marketed as "perpetual futures" or "perpetual contracts", including those providing leveraged exposure to cryptoassets such as Bitcoin....By: A&O Shearman
Impactful Deterrence and Doing the Right Thing: The FCA’s Enforcement Strategy Unpacked
The regulator’s newest caseload sheds some light on the latest priorities, and could well lead to important outcomes relating to the SMCR and the Consumer Duty....By: Latham & Watkins LLP
IRS Releases Schedule 1‑A Providing Reporting Framework for New “No Tax” Deductions Affecting Employers and Auto Lenders
On March 2, 2026, the Internal Revenue Service released Schedule 1‑A (Form 1040) and accompanying updates to the Form 1040 Instructions implementing several new individual tax deductions enacted under the reconciliation legislation commonly referred to as the One, Big, Beautiful Bill Act. Although the deductions—for tips, overtime compensation, and passenger vehicle loan interest, as well as an enhanced deduction for seniors—are claimed solely by individual taxpayers, the structure of Schedule...By: Krieg DeVault
New York's Proposed Regulations for Buy Now, Pay Later Consumer Finance Services
Buy-now, pay-later plans have seen rapid and widespread popularity among consumers and retailers. Acting in a perceived regulatory vacuum at the federal level, New York has adopted legislation to protect consumers as part of its FY 2026 Budget....By: BCLP
Seven Hills Closes New Fund With $235 Million
Seven Hills Capital has announced the closing of its second fund. The fund, Seven Hills Capital Fund II, closed at its $235 million hard cap. McGuireWoods LLP provided legal counsel in connection with the fundraising....By: McGuireWoods LLP
Sports Betting Meets March Madness: Federal CFTC Scrutiny to Impact College Sports
Prediction markets (i.e., platforms where people can bet on the outcome of future events) have moved rapidly from the periphery of finance into the regulatory mainstream. This week, that shift became unmistakable when Kalshi – a CFTC‑regulated prediction market exchange – publicly announced bans and financial penalties against two traders for betting based on insider information....By: BakerHostetler
UK Equity Capital Markets Insights — March 2026
FCA Clarifies Notification Requirements Relating to Admissions to Trading- On 19 February, the FCA issued a clarification following industry concerns about overlapping disclosure requirements introduced alongside the Public Offers and Admissions to Trading Regulations (POATRs), which came into force on 19 January....By: Paul Hastings LLP
UK FCA Clarifies Expectations On The Consumer Duty
The UK Financial Conduct Authority (FCA) has published a new webpage about the consumer duty. The webpage explains how the consumer principle is underpinned by three cross-cutting rules requiring firms to act in good faith, avoid foreseeable harm and support customers to pursue their financial objectives. The FCA reiterates the four core outcomes it expects firms to deliver, relating to the governance of products and services, price and value, consumer understanding and consumer support and...By: A&O Shearman
Troutman Pepper Locke Weekly Consumer Financial Services Newsletter – March 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
FSB Seeks Views On Public Sector Backstop Funding Mechanisms In Bank Resolution
The Financial Stability Board (FSB) has announced it will conduct a thematic peer review on the implementation of public sector backstop funding mechanisms. The review will evaluate progress by FSB member jurisdictions in implementing Key Attribute 6 (funding of firms in resolution) and the related guiding principles on temporary funding to support the orderly resolution of global systemically important banks (G SIBs) and other banks that may be systemically significant or critical in failure...By: A&O Shearman
UK Financial Conduct Authority Reveals Its Regulatory Priorities for the Insurance Sector in 2026
On 24 February 2026, the UK Financial Conduct Authority (FCA) published its first Regulatory Priorities report for the UK insurance sector. With the introduction of this new annual publication, which replaces the numerous, individual portfolio letters historically published, the FCA is aiming to make its expectations clearer, more predictable and easier for firms to navigate....By: Skadden, Arps, Slate, Meagher & Flom LLP
Sanctions on Venezuela ease, but legal risk and cross-border complexity persist
On January 29, 2026, the US Department of the Treasury’s Office of Foreign Assets Control (OFAC) initiated a notable, but carefully tailored, easing of US sanctions targeting Venezuela’s oil sector....By: McDermott Will & Schulte
In the PEP World, the Power to Assign Can Be the Power to Destroy
Chief Justice John Marshall famously wrote in McCulloch v. Marylandthat “the power to tax is the power to destroy.” In today’s retirement plan business, I’d argue there’s a modern parallel: the power to assign a financial advisor to a particular Pooled Plan Provider (PPP) can be the power to get you fired....By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
Vanguard Settles State Antitrust Suit By Committing to Remain Passive
Last week, as noted in this press release, Vanguard settled antitrust challenges from a group of 13 state attorney generals by agreeing to pay $29.5 million and bolster its passive investing approach....By: Cooley LLP
Office of the Comptroller of the Currency Proposes GENIUS Act Implementing Rules for Payment Stablecoins
On February 25, 2026, the Office of the Comptroller of the Currency (OCC) issued a Notice of Proposed Rulemaking proposing regulations to implement the Guiding and Establishing National Innovation for U.S. Stablecoins Act (GENIUS Act) for the issuance of payment stablecoins and certain related activities by entities subject to OCC jurisdiction....By: Pillsbury Winthrop Shaw Pittman LLP
UK Pensions: What’s New This Week? March 2026
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
ESMA publishes Supervisory Briefing on algorithmic trading under MiFID II: What firms need to know
On 26 February 2026, the European Securities and Markets Authority (ESMA) published a new supervisory briefing on algorithmic trading. It aims to provide guidance to both regulators and investment firms on the supervision of algorithmic trading activities under the Markets in Financial Instruments Directive (MiFID II), by providing clarity on key terminology, and on supervisory expectations. In this way, the supervisory briefing aims to drive closer alignment across EU supervisory approaches,...By: Hogan Lovells
Increased FINRA Gift Limit to Become Effective March 30
The amended Gifts Rule marks the first adjustment since 1992 and codifies longstanding guidance on gift valuation, aggregation, and exclusions with minor adjustments....By: Latham & Watkins LLP
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