Podcast - Trends Affecting the Grocer and Retail Space
Videocast: Asset management regulation in 2020 videocast series – SEC’s OCIE exam priorities
States Sue SEC in Ongoing Fight Over Reg BI
SEC Activity with Fixed Income and Credit Funds
Saudi Arabia's domestic retail sukuk market is gaining depth and momentum as issuers seek to diversify funding sources and broaden investor reach within the Kingdom. Against the backdrop of Vision 2030 and the continued...more
The Financial Services and Markets Act 2000 (Regulated Activities) (Providing Targeted Support) (Amendment) Order 2026 was laid before UK Parliament and published with an explanatory memorandum. The instrument, following the...more
In a recent speech before the New York Stock Exchange on revitalizing the securities markets, SEC Chairman Paul Atkins remarked that over the past three decades the number of public companies listed on U.S. stock exchanges...more
On January 20, 2026, the US Securities and Exchange Commission (SEC) announced settled charges against two related registered investment advisers for alleged deficiencies in their investment advisory agreements relating to...more
Unlike traditional sportsbooks, regulated platforms operate under Commodity Exchange Act and US Commodity Futures Trade Commission (CFTC) rules for derivative products, appealing to institutional players and retail traders...more
The FCA’s consultation paper CP25/36, published on 8 December 2025, sets out proposals on client categorisation and will inform firms’ planning for categorisation assessments and procedures. The consultation closes to...more
Activists enjoyed a banner year in 2025. From proxy contest wins at blue-chip companies to a partnership with Taylor Swift’s fiancé, engaged shareholders once again demonstrated their capabilities, creativity and readiness....more
Social media influencers with large followings and strong opinions on stocks have caught the attention of Canada's securities regulators. On December 11, 2025, the Canadian Securities Administrators (CSA) and the Canadian...more
The SEC charged the Advisers with four separate violations of the Investment Advisers Act of 1940 (the Advisers Act). Combined, the Advisers were described as having approximately $500 million in regulatory assets under...more
Financial services sit at the heart of the UK government’s modern Industrial Strategy. Designated as one of eight “growth-driving sectors”, it is expected to play a central role in supporting economic growth – yet it faces...more
The European Securities and Markets Authority (ESMA) published its second thematic note on sustainability-related claims (Second ESMA Note) on 14 January. The Second ESMA Note focuses on how firms describe ESG strategies in...more
The European Securities and Markets Authority has published its second thematic note on clear, fair and not misleading sustainability-related claims in relation to environmental, social and governance (ESG) strategies. This...more
On September 15, 2025, the SEC’s Division of Corporation Finance issued a no-action letter to Exxon Mobil Corp. confirming that it will not recommend enforcement action under the proxy rules regarding the company’s proposed...more
The Stock Exchange of Hong Kong Limited (Exchange) has taken a number of initiatives to enhance its attractiveness as a global offering and listing jurisdiction....more
If you work at or with an investment adviser, the SEC’s 2026 examination priorities are critical because they shape what examiners will scrutinize when assessing whether firms are acting in clients’ best interests, keeping...more
The UK Financial Conduct Authority (FCA) has published findings from its multi‑firm review on the distribution of complex exchange traded products (ETPs) to retail consumers, highlighting both good practice and areas...more
The CSSF’s Circular 25/901 (Circular) consolidates and modernizes the supervisory framework for Luxembourg SIFs, SICARs and Part II UCIs. It replaces several longstanding circulars and codifies CSSF expectations across...more
On September 18, 2025, the SEC’s Investor Advisory Committee (IAC) published a major report outlining its recommendations for facilitating increased participation by retail investors in private investment markets. In recent...more
On 19 January 2026, the new UK prospectus rules (Prospectus Rules: Admissions to Trading on a Regulated Market, known as the “PRM Sourcebook”) took effect and, together with the Public Offers and Admissions to Trading...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from December 2025. ...more
Following changes announced by the US Securities and Exchange Commission (SEC) in August 2025, the Institutional Limited Partners Association (ILPA) has recently published an analysis underscoring a structural shift as US...more
Asset management vehicles, especially those regulated under the Investment Company Act of 1940 (the 1940 Act), are frequently painted with a broad brush and described as having the same or virtually indistinguishable...more
The Office of the Advocate for Small Business Capital Formation recently issued its Staff Report for fiscal year 2025, which provides information on the Office’s activities. As do prior reports, this Report provides a...more
As the new year has begun, ESMA just published the Finfluencer factsheet with tips for responsible promotion. These are generally: be honest and clear; don’t fake or mislead; don’t advise; disclose any payments; be...more
The following summarizes recent legal developments of note affecting the investment management industry: On November 17, 2025, the SEC Division of Examinations (“EXAMS”) published its annual Examination Priorities applicable...more