By: Thoreau Bartmann, Meghan Flinn, and Steve Topetzes
On 4 June 2026, the Supreme Court unanimously decided Sripetch v. SEC, ruling that the SEC does not need to prove that victims of a securities law violation suffered
Global Investment Watch, published by K&L Gates, covers regulatory developments and market trends affecting global investment funds and financial markets. The blog addresses topics such as regulatory reforms in short selling regimes, fund tokenisation and distributed ledger technology adoption, private credit market oversight and compliance, and updates on alternative investment fund managers directives. It also discusses regulatory changes in digital asset obligations and the evolving landscape of fund management practices across jurisdictions including the UK, Europe, Australia, and the United States. The blog provides insights into compliance requirements, supervisory expectations, and legislative proposals impacting investment funds and asset managers worldwide.
By: Thoreau Bartmann, Meghan Flinn, and Steve Topetzes
On 4 June 2026, the Supreme Court unanimously decided Sripetch v. SEC, ruling that the SEC does not need to prove that victims of a securities law violation suffered
…
By: Thoreau Bartmann, Jennifer Klass, Pablo Man, and Keri Riemer
On 9 June 2026 the SEC Division of Examinations published its second risk alert since Atkins became chair. The Risk Alert reminds investment advisers of their fiduciary
…
By: Sasha Burstein, Pablo J. Man, Mark T. Heine, Edward T. Dartley, and George Zornada
The United States Securities and Exchange Commission’s (SEC) inflation adjustment to the qualified client thresholds under Rule 205-3 of the Investment
…
By: Thoreau Bartmann, Meghan Flinn, Ted Kornobis, Hayley Trahan-Liptak, and Neil Smith
On 18 May 2026, the United States Securities and Exchange Commission (SEC) rescinded the rule barring settling defendants from publicly denying the agency’s allegations.
…
By: Meghan E. Flinn, Hayley Trahan-Liptak, Thoreau A. Bartmann, and Steve G. Topetzes
One week into the role, new Securities Exchange Commission (SEC) Enforcement Director David Woodcock used his first public remarks to reinforce the enforcement tone
…
By: Gayle Bowen and Shane Geraghty
The Central Bank of Ireland (the Central Bank) today published its long-awaited revised AIF Rulebook, consolidating and modernising the regulatory framework for Irish alternative investment funds (AIFs). The revised Rulebook introduces a number of
…
By: Sasha Burstein, Ami R. Jani, Andrew J. Feucht III, Mark T. Heine, Daniel F.C. Crowley, Karishma S. Page, J. Matthew Mangan, and Ruth E. Delaney
California legislators are advancing the proposed Private
…
By: Gayle Bowen and Shane Geraghty
Ireland has taken a significant step forward in the implementation of the Alternative Investment Fund Managers Directive II (AIFMD II), with confirmation that the enabling Statutory Instruments have now been signed and are set
…
By: Jon-Luc Dupuy, Jennifer R. Gonzalez, Mark P. Goshko, Jordan A. Knight, Pablo J. Man, Keri E. Riemer, Tristen Rodgers, and George Zornada
On 27 April 2026, the staff (Staff) of the Securities
…
By: Thoreau A. Bartmann, Richard W. Burnett, Ruth E. Delaney, Lance C. Dial, Pablo J. Man, and Sarah V. Riddell
On 20 April 2026, the SEC and CFTC jointly proposed yet another round of amendments
…