United States: Financial Services

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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
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
Curated
Agencies Request Comments On GENIUS Act Implementation
The GENIUS Act has authorized several regulatory agencies to issue regulations to develop the first comprehensive federal regulatory framework governing payment stablecoins in the United States. The statute directs multiple federal financial regulators to implement a coordinated supervisory structure governing issuance, reserve management, redemption rights, anti-money laundering compliance, custody, and market structure
United States International
BG
Braumiller Law Group, PLLC
Article
Family Office Insights: Section 13(f) Compliance
Family offices navigating securities regulation may find themselves exempt from investment adviser registration under the Advisers Act, yet still bound by institutional investment manager filing requirements under Section 13(f) of the Exchange Act. Understanding this regulatory distinction is crucial for developing comprehensive compliance strategies that address both exemption status and ongoing reporting obligations.
United States Finance
SP
Squire Patton Boggs LLP
Curated
Agencies Request Comments On GENIUS Act Implementation
The GENIUS Act has authorized several regulatory agencies to issue regulations to develop the first comprehensive federal regulatory framework governing payment stablecoins in the United States. The statute directs multiple federal financial regulators to implement a coordinated supervisory structure governing issuance, reserve management, redemption rights, anti-money laundering compliance, custody, and market structure
United States International
BG
Braumiller Law Group, PLLC
Article
CFTC Seeks Input On Regulatory Barriers Facing Fintech Firms
The Commodity Futures Trading Commission has issued a Request for Information seeking public comment on whether existing regulations and guidance are impeding fintech firms from partnering with CFTC-regulated institutions or obtaining required registrations. The RFI implements Executive Order 14405 and extends beyond formal rulemaking to include staff guidance, no-action positions, and supervisory practices that shape market access. For fintech firms, digital asset businesses, and trading technology provide
United States Finance
GU
Gesmer Updegrove LLP
Article
The New Fintech Executive Order Is A Signal To Regulators
A new Executive Order directs federal financial regulators to conduct a 90-day review of rules, guidance, and supervisory practices that may impede fintech firms from partnering with traditional financial institutions or obtaining federal licenses. The order also asks the Federal Reserve to evaluate whether non-bank financial companies, including digital asset firms, can gain more transparent access to Reserve Bank payment accounts and services.
United States Finance
GU
Gesmer Updegrove LLP
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