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Investment Compliance Financial Services Industry

Walkers

Key changes in the newly revised JPF Guide

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Earlier today the Jersey Financial Services Commission (JFSC) published a revised version of the Jersey Private Fund Guide (JPF Guide). The new JPF Guide, and a new statutory instrument, the Collective Investment Funds...more

A&O Shearman

UK Pensions: what’s new this week? July 21, 2025

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Welcome to your weekly update from the A&O Shearman Pensions team, covering all the latest legal and regulatory developments in the world of workplace pensions. Mansion House speech - The chancellor gave her second...more

Akin Gump Strauss Hauer & Feld LLP

2025 Compliance Reminder: BE-180 Survey of Cross-Border Financial Services Transactions

U.S. persons who provided or received more than $3 million of financial services, such as investment advisory services, fund management or brokerage services, to or from non-U.S. persons, such as Cayman master funds, during...more

Fox Rothschild LLP

SEC Sets New Accredited Investor Standards for Rule 506(c) Private Placements

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The Securities and Exchange Commission (SEC) granted a no-action relief on March 12 in response to an inquiry by U.S. law firm Latham & Watkins LLP. This SEC No-Action Letter is expected to increase the adoption of Rule...more

Walkers

Moving to the Channel Islands: A guide for asset managers

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Jersey and Guernsey have long been recognised as leading international investment hubs, offering asset managers a compelling mix of professional and lifestyle advantages....more

K&L Gates LLP

Europe: FCA Advances Efforts to Address the UK’s EU Legislative Legacy, Starting With MIFID

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Following an HM Treasury policy statement, the FCA has published a consultation paper proposing amendments to some of the Markets in Financial Instruments Directive (MIFID) conduct of business and systems and controls rules...more

White & Case LLP

The Mexican Banking and Securities Commission (“CNBV”) publishes the Regulations Applicable to Simplified Issuers and Securities...

White & Case LLP on

On Monday, January 21, 2025, the Regulations Applicable to Simplified Issuers and Securities Subject to Simplified Registration (the "Regulations") were published following the amendment to the Securities Market Law ("LMV")...more

King & Spalding

The Saudi Arabian Capital Market Authority Allows Foreign Investment in Real Estate in Makkah and Madinah Through Listed Companies

King & Spalding on

On 27 January 2025, the Saudi Capital Market Authority (“CMA”) approved the ‘Controls for the Exclusion of Companies Listed in the Saudi Stock Exchange (Tadawul) from the Meaning of the Phrase (Non-Saudi) in accordance with...more

A&O Shearman

UK Financial Services and Markets Act 2000 (Collective Investment Schemes) (Amendment) Order 2025 published

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The Financial Services and Markets Act 2000 (Collective Investment Schemes) (Amendment) Order 2025 has been published, alongside an explanatory memorandum. The Order includes a new paragraph 22 to the Schedule to the...more

Latham & Watkins LLP

FCA Publishes Retail Markets Disclosure Proposals for Consumer Composite Investments

Latham & Watkins LLP on

The FCA proposes moving away from the PRIIPs KIDs to a more flexible, technologically neutral regime, which allows firms to innovate and prioritise good customer outcomes....more

Walkers

Initial guidance on the use of AI in the provision of investment services

Walkers on

With the Regulation on Artificial Intelligence (the "AI Act") entering into force in due course, following its publication in the Official Journal of the EU, there has been an increasing focus of supervisory bodies to provide...more

Alston & Bird

Structured Finance Spectrum – Winter 2024

Alston & Bird on

Welcome to the latest edition of the Spectrum, covering hot-topic issues in the structured finance markets in the U.S. and UK. This edition features the shifting single-family rental landscape, what’s next for EDGAR, and...more

Foley & Lardner LLP

Current Trends in Climate Change Technology Investment

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As the world grapples with fast-changing weather patterns, wildfires, record-breaking heat, and many other climate-related issues, it is becoming increasingly important to develop the technologies that will help to combat...more

Bressler, Amery & Ross, P.C.

SEC Enforcement Chief Issues Reminder Concerning Compliance Officer Liability

On Oct. 24, 2023, Gurbir Grewal, the Director of the U.S. Securities and Exchange Commission’s (SEC) Enforcement Division, spoke to the NY Bar Association Compliance Institute about his views concerning faltering public trust...more

Orrick, Herrington & Sutcliffe LLP

Bank to pay $1 billion to settle investors’ compliance claims

Last month, the U.S. District Court for the Southern District of New York preliminarily approved a securities litigation settlement that would require a national bank to pay $1 billion to resolve class claims that it...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #67: Compliance with PTE 2020-02: Factors to Evaluate for a Rollover Recommendation...

The DOL “Fiduciary Rule,” FAQ 15: Factors to Evaluate for a Rollover Recommendation (Part 2) - This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This, and the next several, articles...more

McDermott Will & Schulte

LIBOR: Q1 2021 Snapshot

On 5 March 2021, the Financial Conduct Authority (FCA) set out certain key dates for the cessation of all 35 London Inter-Bank Offered Rate (LIBOR) settings published by ICE Benchmark Administration. Whilst there has been...more

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