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  • Article

    SEC's Increased Focus On "Ai Washing:" Charges Announced Against Two Investment Advisers For Violations Of The Marketing Rule

    Following up on its previously-issued Investor Alert warning investors on the use of so-called "AI washing" by advisers in their marketing materials...
    United StatesCorporate/Commercial Law
    K&L Gates
    K&L Gates
  • Article

    The Last Leg: SEC Extends Trading Relief To Share Class ETFs

    Since late 2025, the SEC has provided exemptive relief to dozens of managers under Section 18(f), among other provisions, for mutual funds to issue a share class listed separately as an ETF.
    United StatesCorporate/Commercial Law
    K&L Gates
K&L Gates
  • Article

    FTC Ban On Non-Competes Could Be Challenging To Asset Managers

    On 23 April 2024, the Federal Trade Commission (FTC) voted 3-2 to approve a rule that will prohibit for-profit employers...
    United StatesEmployment and HR
    K&L Gates
    K&L Gates
  • Article

    CFTC Proposes Highly Anticipated Guidance On Voluntary Carbon Credit Derivatives

    On 4 December 2023, the Commodity Futures Trading Commission (CFTC) proposed guidance on the listing of voluntary carbon credit (VCC) derivative contracts.
    United StatesFinance and Banking
    K&L Gates
    K&L Gates
  • Article

    Form PFffft: SEC And CFTC Propose Rolling Back Reporting Burdens For Private Fund Managers

    On 20 April 2026, the SEC and CFTC jointly proposed yet another round of amendments to Form PF to eliminate filing obligations for many private fund advisers...
    United StatesFinance and Banking
    K&L Gates
    K&L Gates
  • Article

    ISDA Publishes Framework To Facilitate Close-Out Of Derivatives Contracts

    On 27 June 2024, ISDA published the ISDA Close-out Framework, an interactive decision tree that market participants can use to help prepare for potential terminations of collateralized...
    United StatesFinance and Banking
    K&L Gates
    K&L Gates
  • Article

    CMS CY 2027 OPPS/ASC Proposed Rule: Key Payment And Policy Changes For Hospitals, Health Systems, And ASCs

    On 2 July 2026, the Centers for Medicare and Medicaid Services (CMS) released its proposed CY 2027 Hospital Outpatient Prospective Payment System (OPPS) and Ambulatory Surgical Center (ASC) Payment Rule (CMS-1850-P).
    United StatesFood, Drugs, Healthcare, Life Sciences
    K&L Gates
    K&L Gates
  • Article

    Microplastics Under The Microscope: Federal And California Proposals Target Microplastics

    On 17 July 2025, a bipartisan bill aimed at uncovering the potential human health implications of exposures to microplastics in the food and water supply was introduced into Congress
    United StatesFood, Drugs, Healthcare, Life Sciences
    K&L Gates
    K&L Gates
  • Article

    AI Models May Be Trained With Publicly Available Data From Social Networks, Says The Higher Regional Court Of Cologne (Decision Of 23 May 2025, Ref. 15 Ukl. 2/25)

    In proceedings initiated by a Consumer Protection Agency for a preliminary injunction against the operator of a social network to prohibit the use of publicly accessible user data for AI training, the competent court ruled that using such data is permissible under the General Data Protection Regulation (GDPR.)
    United StatesTechnology
    K&L Gates
    K&L Gates
  • Article

    CFTC Requests Comment On The Use Of Artificial Intelligence In CFTC-Regulated Markets

    On 25 January, 2024, multiple Divisions of the Commodity Futures Trading Commission (CFTC) issued a Request for Comment (RFC) on the use of Artificial Intelligence (AI) in CFTC-regulated derivatives markets.
    United StatesTechnology
    K&L Gates
    K&L Gates
  • Article

    Customer Identification Requirements Proposed For Payment Stablecoin Issuers

    On 22 June 2026, the Financial Crimes Enforcement Network (FinCEN) and the federal bank regulators issued a proposed rule to impose customer identification procedures (CIP) requirements on permitted payment stablecoin issuers (PPSI) (the Proposal).
    United StatesTechnology
    K&L Gates
    K&L Gates
  • Article

    Staff Shares Disclosure ABCs For ETPs

    As part of its effort to provide greater clarity on the application of federal securities laws to crypto assets, on 1 July 2025, the SEC's Division of Corporation Finance (Division) released a statement (Statement) addressing its views about the application of certain disclosure requirements to crypto asset exchange-traded products (ETPs).
    United StatesTechnology
    K&L Gates
    K&L Gates
  • Article

    The White House Working Group On Digital Asset Markets Report: Establishing Clear Regulation Based On A Digital Assets Taxonomy

    The President's Working Group on Digital Asset Markets Report (the Report) emphasizes that a clearly defined taxonomy is essential for establishing a regulated digital asset...
    United StatesTechnology
    K&L Gates
    K&L Gates
  • Article

    United States: Staff Shares Disclosure ABCs For ETPs

    As part of its effort to provide greater clarity on the application of federal securities laws to crypto assets, on 1 July 2025, the SEC's Division of Corporation Finance (Division) released a statement (Statement) addressing its views about the application of certain disclosure requirements to crypto asset exchange-traded products (ETPs).
    United StatesTechnology
    K&L Gates
    K&L Gates
  • Article

    Leveraging Tax Credits To Build Affordable Housing In Massachusetts

    For developers looking to build affordable housing in Massachusetts, tax credits can be a powerful tool to reduce costs and secure financing.
    United StatesReal Estate and Construction
    K&L Gates
    K&L Gates
  • Article

    APRA Proposes Reforms To Strengthen Governance Standards

    The Australian Prudential Regulation Authority (APRA) has proposed reforms to strengthen core prudential standards and guidance on governance...
    AustraliaCorporate/Commercial Law
    K&L Gates
    K&L Gates
  • Article

    Australian Business Registry Services Engages With Directors To Apply For Identification Numbers

    The Australian Securities and Investments Commission (ASIC) through the Australian Business Registry Services (ABRS) is actively engaging with directors...
    AustraliaCorporate/Commercial Law
    K&L Gates
    K&L Gates
  • Article

    Internal Dispute Resolution (IDR) Reporting Due For Financial Services Licensees

    All Australian financial services licensees with a retail authorisation, Australian credit licensees and certain unlicensed entities...
    AustraliaFinance and Banking
    K&L Gates
    K&L Gates
  • Article

    Review Recommends No Increases To Wholesale Client Test, Encourages Further Review

    The Parliamentary Joint Committee on Corporations and Financial Services (Committee) has been inquiring into the wholesale investor test for offers of securities, and the wholesale client test for financial products and services in the Corporations Act 2001.
    AustraliaFinance and Banking
    K&L Gates
    K&L Gates
  • Article

    The Regulatory Developments For FY25 That Fund Managers Can't Afford To Ignore

    As we have now said goodbye to FY25, we look back on some of the more significant regulatory developments that fund managers can't afford to ignore.
    AustraliaFinance and Banking
    K&L Gates
    K&L Gates
  • Showing 521–540 of 1978 results

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