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Through the no-action relief granted in CFTC Staff Letter No. 25-42 (the "Letter"), the Divisions are favoring the definitions of "U.S. person" and "guarantee" set forth in the 2020 Swap Dealer Cross-Border Rule (defined below), and in doing so, are aligning the CFTC's definitions with those used by other U.S. regulators.

On February 12, 2026, the SEC approved FINRA's proposed rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) (the "Gifts Rule").

The financial press recently reported that the U.S. Securities and Exchange Commission ("SEC") will be proposing in the coming weeks new restrictions on U.S. money market funds ("money funds"), including capital require-ments and a "liquidity fee" that would hold back a portion of a client’s account for 30 days in the event of a redemption.

In this edition of the UK Enforcement newsletter we provide an update on recent anti-corruption, fraud and bribery developments in the UK and Europe.

This update summarises current regulatory developments in the European Union and the UK focusing on the investment funds and asset management sectors, during the past four weeks.

This DechertOnPoint section analyses regulatory developments in the UK and Europe in the fortnight ending 27 October 2010, other than in relation to the European Union’s proposed Alternative Investment Fund Manager Directive, (on which a separate DechertOnPoint will be issued), and concentrates on developments in the asset management sector.

In Al Sadeq v Dechert LLP & Ors [2023] EWHC 795 (KB) the claimant applied to the High Court to challenge the defendant's claims to privilege over various documents.

This "DechertOnPoint" summarises regulatory developments in the UK, the European Union and internationally in the investment funds and asset management sector during recent weeks.

The US federal securities laws and the rules of self-regulatory organisations, such as the US Financial Industry Regulatory Authority, impose certain reporting and compliance obligations on investment managers and funds that must be complied with each year and in 2011 several new requirements will apply as a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") and related rulemaking.

Over the last two years, there has been an incessant flow of new regulatory initiatives, largely as a response to the recent global financial crisis.

In this edition of the UK Enforcement newsletter we provide an update on recent anti-corruption, fraud and bribery developments in the UK and Europe.

The Securities and Exchange Commission ("SEC") on November 19, 2010 proposed new rules under the Investment Advisers Act of 1940, as amended ("Advisers Act"), to implement certain provisions of Title IV of the Dodd- Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), the Private Fund Investment Advisers Registration Act of 2010 ("Advisers Registration Act").

The Financial Services Bill ("the FS Bill") was introduced into Parliament in November 2009 and had its second reading on 30 November 2009.

It was truly marvelous to see so many of you in Nashville on September 7th-9th for our in-person Drug and Medical Device Seminar!

President Barack Obama signed into law on July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (S. 3217) ("Act"), a comprehensive suite of regulatory reforms that significantly changes the regulatory framework and level of supervision of the financial services industry.

The Securities and Exchange Commission ("SEC") has adopted final rules under the US Investment Advisers Act of 1940, as amended ("Advisers Act"), that are designed to implement and give effect to the provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act").