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 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: 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: Hayley Trahan-Liptak, Christopher F. Warner, and Bridget K. McKelvey
The Supreme Court will soon once again weigh in on the US Securities and Exchange Commission’s (SEC) enforcement powers, this time addressing whether disgorgement is available without showing…
By: Andrew Massey, Kai Zhang, and Ron Feldman
The Financial Conduct Authority (FCA) is consulting on changes to the short selling regime in the United Kingdom (UK), as set out in Consultation Paper CP25/29.
The proposed regime…
By: Andrew J. Massey, Kai Zhang, and Zainab Kuku
The FCA has published Consultation Paper CP25/28 with a view to accelerating the adoption of tokenisation by UK authorised funds. The consultation also proposes changes to allow direct dealing…
By: Matthew Watts and Michelle Huo
Australia’s private credit market has experienced remarkable growth in recent years, with some estimates valuing it at approximately $200 billion.
This expansion has been driven by a surge in private loan investments and growing…
