K&L Gates is a global law firm that publishes detailed legal analyses and updates on regulatory and legislative developments across various jurisdictions. Their blog content covers a broad range of legal topics including financial regulation, intellectual property law, corporate governance, and legislative reforms. The firm provides insights into changes in regulatory frameworks such as short selling regimes, trade mark systems, copyright amendments, and fund tokenisation. Their publications often focus on practical implications for compliance, procedural changes, and strategic considerations for clients operating in complex legal environments. K&L Gates' content is aimed at legal professionals, businesses, and stakeholders seeking informed perspectives on evolving legal landscapes.
By: Thoreau A. Bartmann and Christine Mikhael
On 19 February 2026, the United States Securities and Exchange Commission (SEC) published additional FAQs regarding Rule 35d-1 of the Investment Company Act of 1940, as amended (Names Rule). As you may recall,…
By: Thoreau A. Bartmann and Christine Mikhael
On 19 February 2026, the SEC proposed further amendments to Form N-PORT (2026 Proposal). In August 2024, the SEC adopted amendments to Form N-PORT that required more frequent and accelerated reporting for registered…
By: Thoreau A. Bartmann, Todd S. Fishman, Kevin R. Gustafson, and Sarah V. Riddell
In the last week, multiple ETF sponsors filed for first-of-their-kind ETFs based on event contracts tied to political outcomes. These funds would invest…
By: Thoreau Bartmann, Lance Dial, Stephen Topetzes, and Meghan Flinn
Judge Margaret Ryan, the newly-appointed director of the Enforcement Division of the Securities and Exchange Commission (SEC) gave her first public remarks this week. Given the “new…
By: Jessica D. Cohn, Lance C. Dial, and Derek N. Lacarrubba
Everyone wants to know what tomorrow will bring, and FINRA has proposed amendments to Rule 2210 (Proposed Amendments) that would give broker-dealers more flexibility to communicate exactly…
By: Cameron Abbott and Rob Pulham
The Administrative Review Tribunal of Australia (Tribunal) has partially overturned the findings of the Privacy Commissioner on Bunnings’ use of facial recognition technology (FRT) in its stores.
The Tribunal found FRT use was permitted…
We live in a digital world where social media has become the go-to space for companies to connect with consumers. While it may feel like social media is a free and open space for creative marketing, enforcement actions related to…
By: Todd S. Fishman and Sarah V. Riddell
Prediction markets—once a niche for political mavens and crypto enthusiasts—are gaining traction as platforms become regulated entities and gamified tools attract a broader audience.
Unlike traditional sportsbooks, regulated platforms operate under Commodity…
By: Lance C. Dial, Jennifer L. Klass, and Pablo J. Man
On 15 January 2026, the SEC staff released two new FAQs addressing issues arising under Advisers Act Rule 206(4)-1 (the Marketing Rule). These FAQs provide important, if…
By Cameron Abbott, Damien Timms and Maryam Ahmed (Graduate, Melbourne)
The NSW Government has announced legislative reforms that will enhance the surveillance powers of investigative agencies including NSW’s Independent Commission Against Corruption (ICAC).
Currently, under the Surveillance Devices Act…
