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Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending, November 8, 2025

Welcome to #10For10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings to you, the compliance professional, the compliance stories you need to...more

A&O Shearman

Draft Financial Services and Markets Act 2000 (Regulated Activities) (ESG Ratings) Order 2025 Published

A&O Shearman on

The draft Financial Services and Markets Act 2000 (Regulated Activities) (ESG Ratings) Order 2025 has been laid before UK Parliament and published alongside a draft explanatory memorandum. The draft Order seeks to bring the...more

A&O Shearman

ESMA Prioritises Cyber Risk and Digital Resilience in 2026 Supervisory Strategy

A&O Shearman on

The European Securities and Markets Authority (ESMA) has announced that cyber risk and digital resilience will remain central to its Union Strategic Supervisory Priorities (USSPs) for 2026. This follows strong engagement from...more

Herbert Smith Freehills Kramer

ASIC’s Roadmap to Private and Public Markets – Implications for the Managed Investment Scheme Industry

On 5 November 2025, ASIC announced the publication of its roadmap to promote strong, efficient, and globally competitive capital markets in Australia. The roadmap is outlined in report Report 823 titled “Advancing Australia’s...more

Cadwalader, Wickersham & Taft LLP

Falling Leaves, Rising Regulations, November 2025 - FCA Sets Out Plans To Support Tokenisation and Consults on Rules for Regulated...

On 14 October 2025, the UK's Financial Services Authority ("FCA") published Consultation Paper 25/28 on “Progressing Fund Tokenisation” (the "CP"), which it claims will be a key component of future financial services. The CP...more

White & Case LLP

FRC Revises Guidance on Non-Executive Directors’ Remuneration

White & Case LLP on

The Financial Reporting Council has revised its guidance on the UK Corporate Governance Code (Code), making it clear that the remuneration of non-executive directors in shares is appropriate, enhancing the ability of...more

Perkins Coie

Securities Enforcement Forum DC 2025: Shifting Focus, Uncertain Guidance

Perkins Coie on

Despite the continued absence of SEC staff amid the government shutdown, the Securities Enforcement Forum in Washington, D.C. (the Forum) went forward on October 30, 2025. Panelists from the industry provided a candid look at...more

A&O Shearman

EBA Publishes Two Q&As Under CRR

A&O Shearman on

The European Banking Authority has published two Q&A under the Capital Requirements Regulation (CRR): (i) 2025_7363 addresses how exposures to institutions should be treated under the Credit Risk Standardised approach, if...more

Thomas Fox - Compliance Evangelist

ACI-FCPA Conference Speaker Preview Series - Ricardo Wagner de Araujo on Potential Trouble in your (Latin American) Supply Chain

In this episode of the ACI-FCPA and Global Anti-Corruption Conference Speaker Podcasts series, Ricardo Wagner de Araujo discusses his panel at the event, “Managing New Risks in Latin America: A Look at the Biggest Ways...more

Opportune LLP

Litigation Trends: Navigating Legal Risks for Midstream Oil & Gas in 2025

Opportune LLP on

The midstream oil and gas industry, a vital artery of the energy sector encompassing crucial transportation and storage infrastructure, operates within a highly competitive and intensely scrutinized market. Beyond the usual...more

Woodruff Sawyer

2026 Guide to D&O Insurance for IPOs and Direct Listings

Woodruff Sawyer on

There is significant complexity to the process of protecting a company and its directors and officers as they undertake the process of going public. This interactive resource is your guide to the D&O insurance process for...more

Hogan Lovells

UK Court of Appeal considers the FCA’s Conduct of Business (COBS) rules on client categorisation of elective professional clients

Hogan Lovells on

The UK Court of Appeal has considered the adequacy of an assessment that a regulated firm made when categorising a client as an elective professional client. ...more

Carlton Fields

SEC Chairman’s “Make IPOs Great Again” Project

Carlton Fields on

On October 9, SEC Chairman Paul Atkins delivered the keynote address at the John L. Weinberg Center for Corporate Governance’s 25th Anniversary Gala, providing details about what he calls his project to “make initial public...more

Secretariat

New York and California Step Forward as Federal Enforcement Retreats

Secretariat on

As federal regulatory priorities narrow under the Trump administration, state attorneys general and financial regulators are preparing to take on a more active role in white collar and securities enforcement....more

Patomak Global Partners

SBSD De Minimis Threshold Phase-In: Potential Relief Ahead, but Firms Should Prepare for All Scenarios

Situation Overview: The SEC’s temporary de minimis thresholds for security-based swap dealing activity ($8 billion for credit default swaps and $400 million for non-CDS) are scheduled to change following the expiration of the...more

BCLP

Revamped New York LLC Transparency Law Clears Legislature, Awaiting Delivery to Governor for Signature

BCLP on

If signed into law, LLCs doing business in New York will be subject to the most comprehensive beneficial ownership disclosure requirements of any jurisdiction in the United States....more

Fenwick & West LLP

Ninth Circuit Declines to Pause Enforcement of California’s Climate Disclosure Laws

Fenwick & West LLP on

On October 29, 2025, the U.S. Court of Appeals for the Ninth Circuit issued an order addressing an emergency request aimed at delaying implementation of California’s sweeping climate-related disclosure requirements under...more

Latham & Watkins LLP

FCA Consults on Changes to the UK Short Selling Regime

Latham & Watkins LLP on

Changes largely focus on streamlining administrative requirements to reduce the regulatory burden....more

Cozen O'Connor

Future of Stablecoins in Canada Following Budget 2025

Cozen O'Connor on

On November 4, 2025, the Canadian federal government released Budget 2025. This budget introduces significant structural shifts, including $141 billion in new spending on housing, infrastructure, defense, and productivity,...more

Ropes & Gray LLP

Flip a Coin?—New Congressional Efforts to Prohibit ESG in ERISA Plan Investment Selection and Proxy Voting

Ropes & Gray LLP on

This year, there has been a continued increase in initiatives promoting an anti-ESG approach to investment selection and proxy voting for ERISA plans. The U.S. Department of Labor (DOL) announced in May that it will no longer...more

Thomas Fox - Compliance Evangelist

Compliance and AI: Future-Proofing Compliance with AI: Strategies for 2026 and Beyond

What is the role of Artificial Intelligence in compliance? What about Machine Learning? Are you using ChatGPT? These questions are just three of the many we will explore in this cutting-edge podcast series, Compliance and AI,...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day - NBA Betting Scandal - Rebuilding a Culture of Integrity

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance...more

Conyers

Regulatory & Risk Advisory Review: Cayman Islands – July to September 2025

Conyers on

Welcome to our current edition of our Regulatory & Risk Advisory Review. This issue dives into regulatory shifts and emerging trends shaping the compliance landscape. Whether you are navigating new rules or anticipating what...more

Thomas Fox - Compliance Evangelist

2 Gurus Talk Compliance: Episode 63 - The Farewell to the Tall Guy Edition

What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s...more

Proskauer - Regulatory & Compliance

SFDR 2.0 Leaked: Freedom or New Investor Demands for Private Market Sustainability?

On 6 November 2025, the long-awaited “SFDR 2.0” has finally surfaced in a leak and, as many in the market expected, it represents a major reset of Europe Union’s (“EU”) sustainable finance framework. The proposal, still in...more

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