Regulation & Licensing

Just over a week ago, we received the incredibly sad news that a whistleblower, Simon Andriesz, who we had been in contact with over many years, had died. We’ve shared our condolences, and our thoughts are with his family and loved ones.We’re often in contact with people in…

Federal Reserve Board announces approval of application by Isabella Bank Corporation

The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing…

Speech by Jon Relleen, director of infrastructure and exchanges, at the Reform of the UK Public and Private Capital Markets Summit 2026. The Economic Secretary to the Treasury has discussed the contribution of UK markets to economic growth.I want to build on that by talking…

Three quarters of the Basel Committee’s 27 member jurisdictions have now published regulations implementing the full set of Basel III standards. Almost all member jurisdictions have publicly announced that banks must apply Basel III by April 2027 or earlier. The Committee will…

Federal Reserve Board announces approval of application by Fleur Capital Corporation

Federal Reserve Board announces it will extend, until November 4, the comment period on its proposal to modernize Regulation O

EBA E-mail alert 2 October, 2026 Date 02/10/2026 Anonymous (not verified) Fri, 10/02/2026 - 17:00 Final Q&As 2026_7779 Scope of Article 6 lit. c RTS

Federal Reserve Board issues enforcement action with Ontario Bancorporation, Inc.

The latest FCA and Practitioner Panel survey shows rising levels of satisfaction, confidence and trust in the FCA among firms, alongside a strong understanding of Consumer Duty expectations. The FCA and Practitioner Panel annual survey of regulated firms provides valuable…

The Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered investment companies and business…

The Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” which replaces and expands upon the previous examination brochure by providing…

Alexandra Karg, Head of the Operations division and a member of the Executive Board, has decided to leave the Swiss Financial Market Supervisory Authority FINMA on 30 November 2026, after 10 successful years. FINMA’s CEO and Executive Board thank Alexandra Karg for her valuable…

Exchanges experiences and views on developments in artificial intelligence for the global banking system and supervisors, modernisation efforts and implications for the Committee’s future work programme...

Almost 300 central bankers and banking supervisors attended the International Conference of Banking Supervisors (ICBS) to discuss the future of supervision and the digitalisation of finance...

The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in SpaceX and other pre-IPO…

The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond…

The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while…

EBA E-mail alert 30 September, 2026 Date 30/09/2026 Anonymous (not verified) Wed, 09/30/2026 - 17:00 News & Press ​The EBA publishes its 2027 Work Programme

Federal Reserve Board finalizes changes to enhance the transparency and public accountability of its stress test and reduce volatility in its stress test-related capital requirements

On 30 September 2026, the Swiss Financial Market Supervisory Authority FINMA launched the consultation on the partially revised Circular 2017/6 “Direct transmission”. The consultation will go on until 27 November 2026.

Agencies publish resolution plan feedback letters for 15 banking organizations

Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Liste der sanktionierten natürlichen Personen, Unternehmen und Organisationen der Verordnung vom 21. März 2025 über Massnahmen gegenüber Personen und Organisationen, die mit den Organisationen ISIL (Da'esh) und…

The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called investment confidence scams where…