Finance and Banking Law
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A JD Supra law news feed
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A JD Supra law news feed
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UK Weekly Sanctions Update - Week of December 15, 2025
UK Weekly Sanctions Update - Week of December 15, 2025
In this weekly update, we summarise the most notable updates in the UK sanctions world.
Russia Sanctions...
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December 24, 2025 at 5:38 AM
UK Weekly Sanctions Update - Week of December 15, 2025
What Directors and Officers of a Foreign Private Issuer Must Do Now to Prepare for 2026
What Directors and Officers of a Foreign Private Issuer Must Do Now to Prepare for 2026
he Holding Foreign Insiders Accountable Act (HFIAA) included in the U.S. annual defense spending bill was signed into law by President Trump on...
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December 24, 2025 at 5:34 AM
What Directors and Officers of a Foreign Private Issuer Must Do Now to Prepare for 2026
Virtual Currency Exchange Pleads Guilty to Criminal Charges Related to Anti-Money Laundering Violations and Pays Multi-Million Dollar Fine to FinCEN
Virtual Currency Exchange Pleads Guilty to Criminal Charges Related to Anti-Money Laundering Violations and Pays Multi-Million Dollar Fine to FinCEN
On December 9, 2025, the US Department of Justice (“DOJ”) announced a guilty plea by a peer-to-peer convertible virtual currency exchange (the...
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December 24, 2025 at 5:30 AM
Virtual Currency Exchange Pleads Guilty to Criminal Charges Related to Anti-Money Laundering Violations and Pays Multi-Million Dollar Fine to FinCEN
FINRA Publishes Report on Social Media‑Influenced Investing
FINRA Publishes Report on Social Media‑Influenced Investing
On December 11, 2025, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued a report on social media‑influenced investing (the...
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December 24, 2025 at 5:16 AM
FINRA Publishes Report on Social Media‑Influenced Investing
HKEx Publishes Conclusions on Proposed Amendments to Listing Rules Relating to Ongoing Public Float Requirements
HKEx Publishes Conclusions on Proposed Amendments to Listing Rules Relating to Ongoing Public Float Requirements
This LawFlash summarizes the key reforms of the Hong Kong Stock Exchange’s consultation conclusions on ongoing public float requirements. Mainly,...
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December 24, 2025 at 5:08 AM
HKEx Publishes Conclusions on Proposed Amendments to Listing Rules Relating to Ongoing Public Float Requirements
UEFA-Europol Memorandum of Understanding: What This Means for Football’s Evolving Risk Map
UEFA-Europol Memorandum of Understanding: What This Means for Football’s Evolving Risk Map
Ownership and funding: Be able to explain the ownership structure, verify the source of funds and demonstrate that key individuals have been...
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December 24, 2025 at 5:05 AM
UEFA-Europol Memorandum of Understanding: What This Means for Football’s Evolving Risk Map
California Supreme Court Approves Pension Obligation Bonds
California Supreme Court Approves Pension Obligation Bonds
In City of San José v. Howard Jarvis Taxpayers Association (December 18, 2025), the California Supreme Court unanimously upheld the City of San...
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December 24, 2025 at 5:02 AM
California Supreme Court Approves Pension Obligation Bonds
The Misunderstood Disparate Impact Concept
The Misunderstood Disparate Impact Concept
One of the headline-leading compliance issues during 2025 has been the Trump Administration’s announcement in Executive Order 14281(“Restoring...
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December 24, 2025 at 3:32 AM
The Misunderstood Disparate Impact Concept
INVEST Act: Potential Implications for Financial Services
INVEST Act: Potential Implications for Financial Services
On December 11, 2025, the US House of Representatives passed the Incentivizing New Ventures and Economic Strength Through Capital Formation Act...
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December 24, 2025 at 2:52 AM
INVEST Act: Potential Implications for Financial Services
Amendments to Exchange Act Section 16(a) Extending Insider Reporting to Foreign Private Issuers Enacted
Amendments to Exchange Act Section 16(a) Extending Insider Reporting to Foreign Private Issuers Enacted
President Trump has signed into law the Holding Foreign Insiders Accountable Act (the "Amendment"), which amends Section 16(a) of the Securities...
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December 23, 2025 at 10:37 PM
Amendments to Exchange Act Section 16(a) Extending Insider Reporting to Foreign Private Issuers Enacted
SEC Publishes a Flurry of Crypto-related Statements Aimed at Regulatory Clarity
SEC Publishes a Flurry of Crypto-related Statements Aimed at Regulatory Clarity
The Securities and Exchange Commission ("SEC") published a Frequently Asked Questions ("FAQs") page focusing on trade and settlement issues,...
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December 23, 2025 at 10:19 PM
SEC Publishes a Flurry of Crypto-related Statements Aimed at Regulatory Clarity
Weekly Blockchain Monitor – December 2025 #3
Weekly Blockchain Monitor – December 2025 #3
Stablecoin Products Announced, Crypto Exchange Launches New Offerings -
A major global payments company recently announced the launch of USDC...
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December 23, 2025 at 9:49 PM
Weekly Blockchain Monitor – December 2025 #3
CFTC Relief Eliminates Dual US Regulation of Certain Investment Managers
CFTC Relief Eliminates Dual US Regulation of Certain Investment Managers
Consistent with the ongoing trend towards deregulation of the investment management industry in the United States, the Commodity Futures Trading...
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December 23, 2025 at 8:08 PM
CFTC Relief Eliminates Dual US Regulation of Certain Investment Managers
SEC Clears Path for Tokenized Securities
SEC Clears Path for Tokenized Securities
In a flurry of activity, the Securities and Exchange Commission (SEC) has taken decisive steps to integrate blockchain technology into...
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December 23, 2025 at 7:55 PM
SEC Clears Path for Tokenized Securities
Australian Leveraged Finance in 2025: Market Trends, Structures And Term
Australian Leveraged Finance in 2025: Market Trends, Structures And Term
Australia's leveraged finance market is ending the year well-positioned to support a hopeful M&A comeback in 2026. Deep Australian/Asia-Pacific...
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December 23, 2025 at 7:54 PM
Australian Leveraged Finance in 2025: Market Trends, Structures And Term
Guernsey digital assets - December 2025 update
Guernsey digital assets - December 2025 update
Our Guernsey update covers the recently launched Digital Finance Initiative (the "DFI") and how it will promote digital finance innovation in the...
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December 23, 2025 at 7:17 PM
Guernsey digital assets - December 2025 update
RegFi Episode 73: HPPA Explained: What “Trigger Lead” Limits Mean for the Mortgage Industry
RegFi Episode 73: HPPA Explained: What “Trigger Lead” Limits Mean for the Mortgage Industry
The Mortgage Bankers Association’s Justin Wiseman, George Rogers and Rachel Kelley join RegFi co-hosts Jerry Buckley and Sasha Leonhardt to...
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December 23, 2025 at 7:12 PM
RegFi Episode 73: HPPA Explained: What “Trigger Lead” Limits Mean for the Mortgage Industry
CFTC restores registration exemption for many private fund managers
CFTC restores registration exemption for many private fund managers
The regulatory framework governing the intersection of derivatives markets and the private fund industry has reached a pivotal inflection point....
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December 23, 2025 at 7:11 PM
CFTC restores registration exemption for many private fund managers
Congress Pushes Forward Market Structure Legislation, FDIC Proposes Stablecoin Application Procedures and SEC Hosts Privacy Roundtable and Issues Broker-Dealer Statement
Congress Pushes Forward Market Structure Legislation, FDIC Proposes Stablecoin Application Procedures and SEC Hosts Privacy Roundtable and Issues Broker-Dealer Statement
On digital asset market structure legislation, senators met with crypto industry participants and trade associations to discuss policy...
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December 23, 2025 at 7:04 PM
Congress Pushes Forward Market Structure Legislation, FDIC Proposes Stablecoin Application Procedures and SEC Hosts Privacy Roundtable and Issues Broker-Dealer Statement
SEC’s 2026 Examination Priorities for Investment Advisers
SEC’s 2026 Examination Priorities for Investment Advisers
On November 17, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its annual examination...
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December 23, 2025 at 6:52 PM
SEC’s 2026 Examination Priorities for Investment Advisers
When a Recordkeeper Switch Becomes a Fiduciary Freefall
When a Recordkeeper Switch Becomes a Fiduciary Freefall
If you’re a plan sponsor reading this, you can sit back, relax, and think, “I’ll never be that guy.” Except the guy in question just might be...
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December 23, 2025 at 6:47 PM
When a Recordkeeper Switch Becomes a Fiduciary Freefall
Key Takeaways from FINRA's 2026 Annual Regulatory Oversight Report - Troutman Pepper Locke
Key Takeaways from FINRA's 2026 Annual Regulatory Oversight Report - Troutman Pepper Locke
The Financial Industry Regulatory Authority’s (FINRA) 2026 Annual Regulatory Oversight Report is the most current and comprehensive statement of...
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December 23, 2025 at 6:02 PM
Key Takeaways from FINRA's 2026 Annual Regulatory Oversight Report - Troutman Pepper Locke
Regulatory Reset: CFTC Pulls Back on Guidance for ‘Actual Delivery’ of Digital Assets
Regulatory Reset: CFTC Pulls Back on Guidance for ‘Actual Delivery’ of Digital Assets
On December 10, 2025, the CFTC withdrew interpretive guidance concerning the term ‘‘actual delivery’’ as set forth in the Commodity Exchange Act...
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December 23, 2025 at 6:02 PM
Regulatory Reset: CFTC Pulls Back on Guidance for ‘Actual Delivery’ of Digital Assets
CFTC Agrees To Dismiss With Prejudice Spoofing Action Against Energy Trading Firm
CFTC Agrees To Dismiss With Prejudice Spoofing Action Against Energy Trading Firm
On December 15, 2025, the Commodity Futures Trading Commission (“Commission” or “CFTC”) agreed to dismiss with prejudice its enforcement action...
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December 23, 2025 at 5:31 PM
CFTC Agrees To Dismiss With Prejudice Spoofing Action Against Energy Trading Firm
FINRA Flags Generative AI Risks and Governance Expectations
FINRA Flags Generative AI Risks and Governance Expectations
The Financial Industry Regulatory Authority’s (FINRA) 2026 Annual Regulatory Oversight Report includes a dedicated section on generative...
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December 23, 2025 at 4:47 PM
FINRA Flags Generative AI Risks and Governance Expectations