The annual roadmap largely builds on prior themes while adding emphasis on areas such as economic conflicts and foreign omnibus accounts.
By Laura Ferrell, Aaron Gilbride, Mike Hart-Slattery, Jennifer Y. Tian, Jamie Lynn Walter, Meghan
Findings from a multi-firm review in the benchmarks sector can help all firms ensure their governance arrangements are calibrated effectively.
By Becky Critchley, Nicola Higgs, Rob Moulton, Jonathan Ritson-Candler, and Charlotte Collins
On 12
As firms adjust to the new guidance, we outline key changes in expectations and how firms can approach non-financial misconduct cases.
By Becky Critchley, Nicola Higgs, Rob Moulton, Nell Perks, Jonathan Ritson-Candler, Charlie Bowden,
The SEC’s Innovation Exemption permits limited on-chain trading of tokenized US-listed equity securities, including third-party tokenizations subject to issuer notice and objection.
By Michele M. Anderson, Jenna B. Cooper, Paul M. Dudek, Zachary Fallon, Dan Gibbons
In response to feedback, the FCA has moved to a comply-or-explain model for all of the sustainability disclosure obligations.
By Mark Austin CBE, Michael D. Green, Nicola Higgs, Betty M. Huber, Anne Mainwaring, James Bee
The proposed amendments would strengthen existing transfer agent compliance, risk management, and safeguarding standards; permit the use of distributed ledger technology for recordkeeping; and introduce certain new gatekeeper obligations.
The joint final rule narrows the basis for enforcement actions and MRAs to practices that pose material financial risk or constitute actual violations of law.
By Arthur S. Long, Parag Patel, Pia Naib, and Deric Behar
Key
The changes will reduce the scope and lessen the long-term compliance burden for firms, albeit with a short-term cost.
By Becky Critchley, Nicola Higgs, Rob Moulton, and Charlotte Collins
Key Points:
The guidance provides a clear foundation for sponsors, underwriters, and investors to structure and execute data center securitizations with greater certainty and efficiency.
By Kevin T. Fingeret, David G. Siegel, Matt Hays, Michele M. Anderson, Rolaine
The FCA and HM Treasury are consulting on detailed reforms to the UK regulatory framework for fund managers.
By Becky Critchley, Nicola Higgs, James McCrory, Rob Moulton, Clare Scott, and Charlotte Collins
On 14 July
