Financial Institutions, Retail Investors, Investment

Midyear Look: Retail Capital Rising, July 2025 - Retail Investors: Challenges and Opportunities in Subscription Finance

Cadwalader, Wickersham & Taft LLP on 7/11/2025

The growth of High Net Worth Individual (“HNWI”) allocations to alternative investments is a hot topic in fund finance. In what is widely acknowledged to be a challenging fundraising environment, fund managers have focused...more

Recent Passing of Hong Kong Stablecoins Bill

Seyfarth Shaw LLP on 5/27/2025

On May 21, 2025, Hong Kong’s Legislative Council passed the Stablecoins Bill, establishing a regulatory framework for stablecoins–cryptocurrencies whose value is tied to an external asset or commodity. This marks an important...more

SEC Speaks 2025: Key Takeaways from Division of Enforcement Panels

Ropes & Gray LLP on 5/27/2025

The SEC’s Division of Enforcement intends to remain a “cop on the beat,” and will refocus on traditional core enforcement areas, such as insider trading, accounting and disclosure fraud, market manipulation, and breaches of...more

Adoption of the European Commission's retail investment strategy

Walkers on 6/28/2023

On 24 May 2023, the European Commission (the "Commission") adopted and published its retail investment strategy ("RIS") a key tenet of its Capital Markets Union Action Plan (the "CMU Action Plan"). One of the core objectives...more

What the SEC’s New Strategic Plan Means for the Financial Industry and Investors

Amundsen Davis LLC on 9/7/2022

On August 24, the Securities and Exchange Commission (SEC) released a draft of its strategic plan for 2022 – 2026, outlining its key initiatives for the next four years. The SEC’s mission is to protect investors, maintain...more

SEC’s 2017 Exam Priorities

Burr & Forman on 1/13/2017

OCIE released its 2017 exam priorities on January 12. The priorities list was most notable for being shorter than prior years. But that likely means only more focus, rather than less vigor....more