Our September 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last couple of months in the UK and the US.
This month we cover the following:
- UK
- UK asset management reform: A more proportionate regime
- Asset management and alternatives firms’ financial crime controls: the FCA’s findings
- FCA finalises a leaner UK transaction reporting regime
- UK crypto regulation moves from policy to preparation
- Enhancing fund liquidity risk management
- FCA review of high-growth firms: is your control framework keeping pace?
- Enforcement round-up
- US
- Compliance deadline for Form PF further extended
- SEC proposes electronic delivery as the default for regulatory information
- SEC establishes specialised financial reporting and accounting enforcement unit
- FinCEN Final Rule ends most beneficial ownership reporting requirements
- SEC charges private fund adviser, its CEO and affiliated general partners in alleged fraud
- SEC moves toward reform of investment adviser pay-to-play rule
- CFTC proposes CPO and CTA registration relief for certain SEC-registered advisers
- SEC proposes tailored offering framework for certain crypto asset investment contracts
- New NFA fingerprinting process effective October 1, 2026
- UK & Global, EU, US – Key upcoming dates and deadlines
Click below to view and download our September 2026 Newsletter:
September 2026 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
Our September 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last couple of months in the US and the UK.
This month we cover the following:
- US
- Compliance deadline for Form PF further extended
- SEC proposes electronic delivery as the default for regulatory information
- SEC establishes specialised financial reporting and accounting enforcement unit
- FinCEN Final Rule ends most beneficial ownership reporting requirements
- SEC charges private fund adviser, its CEO and affiliated general partners in alleged fraud
- SEC moves toward reform of investment adviser pay-to-play rule
- CFTC proposes CPO and CTA registration relief for certain SEC-registered advisers
- SEC proposes tailored offering framework for certain crypto asset investment contracts
- New NFA fingerprinting process effective October 1, 2026
- UK
- UK asset management reform: A more proportionate regime
- Asset management and alternatives firms’ financial crime controls: the FCA’s findings
- FCA finalises a leaner UK transaction reporting regime
- UK crypto regulation moves from policy to preparation
- Enhancing fund liquidity risk management
- FCA review of high-growth firms: is your control framework keeping pace?
- Enforcement round-up
- US, UK & Global, EU – Key upcoming dates and deadlines.
Click below to view and download our September 2026 Newsletter:
September 2026 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
