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Securities Communications & Media

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
A&O Shearman

ESMA TRV report on fund names: ESG-related changes and their impact on investment flows

A&O Shearman on

The European Securities and Markets Authority (ESMA) has published a trends, risks and vulnerabilities (TRV) risk analysis report on ESG-related changes to fund names and their impact on investment flows. The report examines...more

BakerHostetler

Weekly Blockchain Blog - April 2025 #3

BakerHostetler on

U.S. Digital Asset Companies Announce New Product Launches - A major U.S. cryptocurrency exchange recently announced that certain customers can now trade “over 11,000 U.S.-listed stocks and ETFs, bringing equities and...more

KPMG Board Leadership Center (BLC)

Directors Quarterly: April 2025

With the post-election landscape still unfolding, navigating the policy and regulatory shifts underway—and assessing the potential upsides and downsides—requires boards and business leaders to be more agile, engaged, and...more

Paul Hastings LLP

Dramatic Shifts Point to Foundation for a Comprehensive Digital Asset Framework in the US

Paul Hastings LLP on

In just a few weeks, the landscape for crypto policy has continued to shift dramatically. The president signed into law the repeal of an IRS rule that would have expanded the definition of “broker” to capture DeFi protocols;...more

Carey Olsen

British Virgin Islands Fintech Guide (Chambers)

Carey Olsen on

This chapter provides the latest legal information on the British Virgin Islands' fintech market and regulation, including regulatory jurisdiction, sandboxes, AML rules and FATF standards; robo-advisers, online lenders and...more

Allen Matkins

Digital Financial Assets - Out Of The Frying Pan And Into The Fire?

Allen Matkins on

The application of the securities laws to digital financial assets has been fraught for lawyers and their clients. After taking a hard line that many of these assets were securities under the federal securities laws, the...more

A&O Shearman

FCA update on PISCES and pre-application support

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published an update on the Private Intermittent Securities and Capital Exchange System (PISCES) sandbox, following the consultation in December 2024 (CP24/29). PISCES will be a new...more

A&O Shearman

UK FCA concludes consumer investment policy sprint

A&O Shearman on

The UK Financial Conduct Authority (FCA) has announced the conclusion of its six-week policy sprint aimed at improving consumer investment decisions to support its key objective of supporting growth. With only 9% of UK...more

Sheppard Mullin Richter & Hampton LLP

Digital Dollars, Not Investments: SEC Staff Weighs in on Stablecoins

On April 4, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance issued a statement clarifying that reserve-backed U.S. dollar stablecoins are not securities, at least under current law and...more

A&O Shearman

ESMA final report on systematic internaliser ITS, volume cap and transparency calculations and trading venue RTS

A&O Shearman on

The European Securities and Markets Authority (ESMA) has published a final report in relation to certain changes being made as a result of the MiFID II/MiFIR review, together with an accompanying press release. The changes...more

A&O Shearman

UK PRA business plan 2025/26

A&O Shearman on

The Prudential Regulation Authority (PRA) has published its Business Plan 2025/26 which sets out the workplan for and regulatory initiatives to advance its strategic priorities. This year's business plan is said to reflect...more

Seward & Kissel LLP

SEC Extends Effective and Compliance Dates for Amendments to Investment Company Reporting Requirements

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Registered Investment Advisers; Compliance Officers - Quick Take: The SEC announced a two-year extension to the effective and compliance dates for rule amendments...more

The Volkov Law Group

Episode 365 -- Four Sanctions Cases Everyone Should Know

The Volkov Law Group on

How prepared is your organization to handle the evolving landscape of sanctions compliance? In this episode of Corruption, Crime and Compliance, Michael Volkov dives into critical sanctions compliance cases and their...more

K&L Gates LLP

United States: The SEC Takes Another Key Step Toward Crypto Clarity

K&L Gates LLP on

On the heels of other guidance issued by the US Securities Exchange Commission’s (SEC) Division of Corporation Finance (Division), the Division released a statement (Statement) on 10 April 2025 addressing its views about,...more

DLA Piper

SEC’s Climate Rule Litigation Update: Is it Actually Over?

DLA Piper on

The Securities and Exchange Commission (SEC)’s March 27, 2025 decision (the Decision) to withdraw the defense of its landmark climate-related disclosure rules adopted in March of 2024 (the Rules) did not formally pause or...more

K&L Gates LLP

Hong Kong SFC’s New Roadmap to Develop Hong Kong as a Global Virtual Asset Hub: ASPIRe

K&L Gates LLP on

The Hong Kong Securities and Futures Commission (SFC) has recently unveiled a growth plan for the virtual asset (VA) industry, outlined in a five-pillar roadmap called “A-S-P-I-Re.” This roadmap consists of 12 initiatives...more

K&L Gates LLP

United States: SEC Appears Poised to Bolster Competition on “Y’all Street”

K&L Gates LLP on

On 4 April 2025, the Securities and Exchange Commission (SEC) published Texas Stock Exchange’s (TXSE) Form 1 Application and Exhibits, indicating that the SEC intends to grant TXSE’s registration as a national securities...more

K&L Gates LLP

Europe: UK’s FCA Intensifies Scrutiny on Private Markets Valuations

K&L Gates LLP on

The UK’s Financial Conduct Authority has published the findings of its multi-firm review of valuation processes for private market assets. This review follows the highlighting of vulnerabilities in private markets stemming,...more

Morrison & Foerster LLP

FinReg Currents - Week 13

Each week of the first 100 days of the new Trump administration, we will publish updates on key federal financial services regulatory and related developments. This week, we review the following developments as of Wednesday: ...more

Paul Hastings LLP

Daily Financial Regulation Update -- Friday, April 18, 2025

Paul Hastings LLP on

April 17, 2025 - Federal Reserve Board Governor Michael S. Barr gave a speech entitled, “Deepfakes and the AI Arms Race in Bank Cybersecurity.” April 17, 2025- The Federal Reserve Bank of Boston published an article...more

Blake, Cassels & Graydon LLP

Crypto Class Action Certified by Ontario Court of Appeal

In its recent decision in Lochan v. Binance Holdings Limited, the Ontario Court of Appeal upheld the certification of a class action brought on behalf of Canadian investors who purchased cryptocurrency products (Decision). It...more

A&O Shearman

ESMA calls for clarity on the qualification of fractional shares

A&O Shearman on

The European Securities and Markets Authority (ESMA) has published a letter to the European Commission on the inconsistent regulation of trading of fractional shares across the EU. There has been an increase in the...more

Eversheds Sutherland (US) LLP

SEC ends defense of climate disclosure rules

On March 27, 2025, the Securities and Exchange Commission (SEC) voted to end its defense of its Enhancement and Standardization of Climate-Related Disclosures for Investors rules in the ongoing Eighth Circuit case Iowa v....more

White & Case LLP

Evolution of AI Washing Enforcement: DOJ Enters the Picture

White & Case LLP on

On April 9, the US Department of Justice and Securities and Exchange Commission announced parallel cases against the founder and former CEO of an artificial intelligence startup for allegedly misleading investors about his...more

Woodruff Sawyer

Will SPACs Benefit From Recent DGCL Amendments?

Woodruff Sawyer on

In the last edition of the SPAC Notebook, we examined the current risks to SPACs incorporating in the Cayman Islands. In this edition, we turn our focus to Delaware and its new set of amendments to the Delaware General...more

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