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Financial Services Industry › Regulatory Requirements › Investment Products

Mayer Brown

FDIC Streamlines Process for Cryptocurrency Activities by Banks It Regulates and Speculates on Additional Permissible Activities

Mayer Brown on

On March 28, 2025, the Federal Deposit Insurance Corporation (FDIC) issued guidance on state nonmember bank and state savings association participation in certain cryptocurrency activities (“FIL-7-2025”). ...more

Carlton Fields

Getting Clued In: How the SEC’s RILA Rulemaking Affects Variable Annuities

Carlton Fields on

The recent rule and form amendments adopted by the SEC to facilitate the registration of registered index-linked annuities (RILAs) and market-value adjustment annuities (MVAs) on Form N-4 have been broadly welcomed by the...more

A&O Shearman

Qatar introduces new digital assets framework

A&O Shearman on

On 1 September 2024, the Qatar Financial Centre (QFC), Qatar’s onshore business and financial centre, published its new Digital Asset Regulations 2024 and accompanying laws, rules and guidelines (the DA Regime). The DA...more

Cadwalader, Wickersham & Taft LLP

Treasury Cries “Uncle” to Crypto Industry: Crypto Reporting Delayed

Cadwalader, Wickersham & Taft LLP on

On January 16th, the IRS published Announcement 2024-4 (the “Announcement”), postponing certain reporting requirements for large crypto transactions which were set to go into effect for the 2024 tax year.  Persons engaged in...more

Troutman Pepper Locke

Inside Look: The SEC’s Enforcement Action Against Cryptocurrency Exchange Kraken

Troutman Pepper Locke on

On November 20, the Securities and Exchange Commission (SEC) instituted a civil enforcement action against Kraken, a major U.S. cryptocurrency exchange. The SEC alleged Kraken operated as an unregistered broker, dealer,...more

Cadwalader, Wickersham & Taft LLP

FCA Delays Further Consultation on Sustainability Disclosure Requirements and Investment Labels

Cadwalader, Wickersham & Taft LLP on

On July 4, the UK’s Financial Conduct Authority (“FCA”) updated the “next steps” section on its webpage on the discussion paper on Sustainability Disclosure Requirements and investment labels (DP21/4). In its discussion...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

Regulation BI, Form CRS, Adviser or Advisor, and Fiduciary Duties of Adviser - In a flurry of proposed rulemaking that added up to more than 900 pages of reading material, the Securities and Exchange Commission (SEC)...more

Carlton Fields

FINRA Proposes to Ease Regulation of Outside Business Activities

Carlton Fields on

FINRA has proposed a major paradigm shift for regulating outside business activities (OBAs) and private securities transactions (PSTs) of broker-dealer personnel. ...more

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