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SEC Spring 2025 Agenda: Key Takeaways for Investment Advisers
On September 4, 2025, the Securities and Exchange Commission (the “SEC”) published its Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions (the “Reg Flex Agenda”). Twice per year, Federal agencies, including the SEC, must publish an agenda of proposed rulemakings that they anticipate will have a substantial impact on the economy. The Reg Flex Agenda lists the SEC’s current rulemaking initiatives and reflects the SEC’s rulemaking priorities....By: Proskauer - Regulatory & Compliance
[Video] Compliance into the Weeds: Fracht - The Bonkers Sanctions Case
The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode, Tom Fox and Matt Kelly discuss a recent OFAC enforcement action against a Swiss-domiciled freight forwarding company, Fracht. The case stands out for its complexity, involving a single,...By: Thomas Fox - Compliance Evangelist
Undercapitalization in the Booming Secondaries Market: Why Buy-Side Capital Continues to Lag Behind Deal Opportunities Despite Record Fundraises
With near-constant reports on the growth and scale of the secondaries market, and headlines announcing marquee secondary fund closings, such as Carlyle AlpInvest’s recent $20 billion fundraise, one could be excused for wondering how the market could be undercapitalized. Despite these large fundraises, along with many new entrants in the space and rapid growth of retail secondaries products, secondary opportunities continue to dwarf buy-side capital....By: Ropes & Gray LLP
I'm From the Government and I'm Here to Help
I’m sure you know the allegory about the camel’s nose under the tent, right? First it’s the nose, then it’s the humps. A camel takes up a lot of room. They’re smelly, they make an appalling din and while they may be useful in their way, they are not at all amiable company. Pretty tough to do business with a camel in your tent. Think of our governmental as a camel. Once invited in, humps follow nose, and trying to do business with a camel stomping around in your tent becomes almost...By: Crunched Credit
Senate Banking Committee Releases Discussion Draft of the Responsible Financial Innovation Act of 2025
On September 5, 2025, the Senate Banking Committee released a 182-page discussion draft of the Responsible Financial Innovation Act of 2025 ("RFIA draft") outlining a proposed digital asset market structure. The Senate Banking Committee previously issued a shorter 32-page initial discussion draft in July, which had built upon the Digital Asset Market Clarity Act of 2025 ("CLARITY Act") passed by the House of Representatives......By: Davis Wright Tremaine LLP
[Video] Daily Compliance News: September 10, 2025, The All FT Edition
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, including compliance, ethics, risk management, leadership, or general interest, relevant to the compliance professional. Top stories include: • Why would a foreign company...By: Thomas Fox - Compliance Evangelist
Mid-2025 Debt Markets: What Borrowers and Lenders Need to Know
On July 22, 2025, PitchBook published the latest Midyear Outlook: US Leveraged Loan and Private Credit report offering insights into key trends shaping the leveraged loan and private credit markets during the first half of 2025. Below is a summary of the main themes and market dynamics that borrowers and lenders should keep in mind as they navigate dealmaking, refinancings, and capital allocation decisions in the second half of 2025 and beyond....By: Goulston & Storrs PC
BIS Innovation Hub Launches Project Keystone for ISO 20022 Payments
The BIS Innovation Hub London Centre, in collaboration with the Bank of England, has announced the launch of Project Keystone, an initiative exploring how technology can enhance the analytical use of ISO 20022 data. 93% of payment system operators have either implemented or are preparing to implement ISO 20022. Project Keystone aims to support this transition by offering a standardised data analytics platform focused on ISO 20022 data....By: A&O Shearman
The Importance of Fairness: Legal Lessons from Petrofac for Shipping and Energy Company Restructurings
The English Court of Appeal (COA) in Re Petrofac Limited & Petrofac International (UAE) LLC [2025] EWCA Civ 821 ruled on one of the most significant restructuring rulings since Virgin Active and Thames Water. Petrofac, an oilfield services group, proposed two interconnected restructuring plans in December 2024 under Part 26A of the Companies Act 2006 (Part 26A) to tackle more than US$1.1 billion of secured debt and raise approximately US$300-350 million in new financing....By: Haynes Boone
IWG Response to FCA Feedback on Its Final Report on Credit Information Market Study
The Interim Working Group (IWG) advising on the UK Financial Conduct Authority's (FCA) Credit Information Market Study has issued a formal response to the FCA's feedback on its final report regarding the establishment of the Credit Information Governance Body (CIGB)....By: A&O Shearman
Summary of June 2025 Annual General Shareholder Meeting Season Shareholder Proposals
According to the news reports, during the June 2025 annual general meeting season, shareholders made a total of 399 proposals to 114 Japanese publicly listed companies. This marks the fourth consecutive year of record-breaking numbers. According to our calculations, among the companies that received proposals, a total of 146 proposals were submitted by institutional investors including activists....By: White & Case LLP
Registered Representatives Beware: FINRA Can Discipline You for More Than Your Securities Business
FINRA only brings disciplinary actions against registered representatives (RRs) for their securities business, right? Wrong! FINRA often brings cases against RRs for conduct not related to their securities business....By: Eversheds Sutherland (US) LLP
HMT and PRA Respond to House of Lords Committee' Report on Barriers to Growth and Competitiveness
HM Treasury (HMT) has published a formal response letter dated 2 September to the House of Lords Financial Services Regulation Committee's June report on the UK Financial Conduct Authority (FCA) and UK Prudential Regulation Authority's (PRA) secondary international competitiveness and growth objectives. The letter welcomes the Committee's recommendations and notes their alignment with the UK government's Financial Services Growth and Competitiveness Strategy, announced in July, reaffirming its...By: A&O Shearman
It is a New Day at the SEC – That’s the Word from the New Chairman!
Under the Regulatory Flexibility Act, the SEC is required to publish twice a year an agenda identifying rules that it estimates it may consider in the next 12 months. On September 4, 2025, the SEC’s Office of Information and Regulatory Affairs released the Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions. In a statement referring to the agenda, Chairman Paul S. Atkins stated: “[t]his regulatory agenda reflects that it is a new day at the [SEC]....By: Nelson Mullins Riley & Scarborough LLP
UK PSR Publishes Annual Report and Accounts for 2024/25
The UK Payment Systems Regulator (PSR) has published its annual report and accounts for 2024/25, summarising the PSR's progress across its key activities over the year. In March, the UK government announced that the PSR would consolidate into the UK Financial Conduct Authority (FCA) to streamline regulation and enhance efficiency. While legislation is pending, the report highlights the transitional work already underway to support a more streamlined approach....By: A&O Shearman
Delegated Regulations Bringing CTPs Into Scope of ESMA Rules for DRSP Fines and Fees Published in OJ
Delegated Regulation (EU) 2025/1768 and Delegated Regulation (EU) 2025/884 have been published in the Official Journal of the European Union (OJ), extending the scope of rules on fines and fees for data reporting service providers (DRSPs) to include consolidated tape providers (CTPs). Previously, these rules applied only to two types of DRSPs: approved publication arrangements and approved reporting mechanisms....By: A&O Shearman
SEC Grants No-Action Relief from Rule 17a-4 for Reliance on Central Registration Depository System to Maintain Electronically Signed Form U4 Filings
On September 5, 2025, the Staff of the Division of Trading and Markets of the U.S. Securities and Exchange Commission (“SEC”) granted no-action relief that allows members of the Financial Industry Regulatory Authority, Inc. (“FINRA”) to rely on the Central Registration Depository system (“CRD”) to satisfy their record retention requirements under Rule 17a-4 (“Rule 17a-4”) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), with respect to Form U4 (Uniform Application for...By: Mayer Brown Free Writings + Perspectives
AVM Quality Control Rule Takes Effect October 1, 2025: Are You Ready?
Mortgage originators, servicers, and secondary market participants should take note that the October 1 implementation date for the Interagency AVM Quality Control Rule (the “Rule”) is fast approaching....By: Alston & Bird
Geofencing, Geotargeting, and Geo-blocking, in Civil Litigation, Information Governance, and Regulation
Much of the litigation over geofencing has been under the Fourth Amendment in criminal cases, and there has been a lot of it. See, e.g., Certiorari Petition to U.S. Supreme Court in 4th Circuit Geofence Decision – E-Discovery LLC (Aug. 5, 2025); Alvarez v. State, 2025 WL 2346165, at *4 (Tex. App. Aug. 13, 2025); U.S. v. Brown, 2025 WL 1674283, at *14 (N.D. Ga. June 13, 2025)(“To be clear, the Court joins in the Fifth Circuit’s alarm at the Government’s widespread use of geofence warrants to drum...By: EDRM - Electronic Discovery Reference Model
Credibly Challenged Podcast - Interview with Paul Noring, Managing Director at BRG
Matt Bisanz interviews Paul Noring, the head of BRG’s Financial Institution Advisory practice. Together, Matt and Paul take a deep dive into the challenges of continuously advancing bank fraud, cybersecurity best practices, and the newest trends in crypto, including stablecoin. Listen here to learn more about these topics and the strategic approach Paul is taking to navigate our world's current financial environment....By: Mayer Brown
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