United States: Finance and Banking

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Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.
Article
SEC Warns Investment Advisers: Economic Conflicts Remain A Major Examination Priority
The SEC's Division of Examinations has issued a new Risk Alert highlighting critical deficiencies in how investment advisers manage and disclose economic conflicts of interest. The alert reveals that examiners are increasingly scrutinizing cash sweep arrangements, share class recommendations, billing practices, and whether compliance programs adequately address the economic incentives embedded within advisory businesses. Firms can no longer rely solely on disclosure to satisfy fiduciary obligations—th
United States Finance
GU
Gesmer Updegrove LLP
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Related Country Guides

BR
Banking Regulation
PF
Project Finance

Capital Adequacy/BASEL

Article
Built For One Era, Operating Across Four Generations
Federal banking agencies have issued revised model risk management guidance in SR 26-2, introducing a more explicitly risk-based approach to model governance, validation, and monitoring. While primarily targeting organizations with over $30 billion in assets, the principles-based framework has broader implications for regional and community banks navigating evolving regulatory expectations.
United States Finance
AC
Ankura Consulting Group LLC
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Debt Capital Markets

Article
IRS And Treasury Propose Revised Applicability Dates For Section 892 Rules On Foreign Government Investments
The IRS and Treasury have released new proposed regulations under Section 892, revising applicability dates for previously proposed rules from 2025 that govern debt acquisitions and the "effective control" standard for foreign government investments. These revised dates include transition rules designed to protect existing and committed investments from the more stringent 2025 standards, while the preamble signals potential substantive changes to address market concerns.
United States Tax
SA
Skadden Arps Slate Meagher & Flom
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Charges, Mortgages, Indemnities

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Financial Services

Article
SEC Warns Investment Advisers: Economic Conflicts Remain A Major Examination Priority
The SEC's Division of Examinations has issued a new Risk Alert highlighting critical deficiencies in how investment advisers manage and disclose economic conflicts of interest. The alert reveals that examiners are increasingly scrutinizing cash sweep arrangements, share class recommendations, billing practices, and whether compliance programs adequately address the economic incentives embedded within advisory businesses. Firms can no longer rely solely on disclosure to satisfy fiduciary obligations—th
United States Finance
GU
Gesmer Updegrove LLP
Article
17 CFR Part 200 Explained: SEC Organization, Authority, Divisions, And Enforcement
Understanding the SEC's organizational structure is critical for navigating financial regulatory matters. This guide examines 17 CFR Part 200, which defines the Commission's statutory authority, division responsibilities, and internal architecture—knowledge that shapes strategy when responding to examinations, enforcement inquiries, and regulatory questions.
United States Commercial
GU
Gesmer Updegrove LLP
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Latest Videos

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