Our April 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last month in the UK and the US.
This month we cover the following:
- UK
- FCA publishes Regulatory Priorities report for Wholesale Buy Side
- FCA’s annual work programme 2026/27: FCA sets out next phase of “smarter, more effective regulation”
- Operational incident and third party reporting: UK regulators confirm new incident and third party rules to bolster resilience
- Non-financial misconduct in financial services: what firms need to do
- Creating a modernised redress system that works better for consumers and firms; Good and poor practice on identifying and rectifying harm
- Consumer understanding: good practice and areas for improvement
- Consumer Composite Investments regime: a guidance note
- FCA bans Kasim Garipoglu, former chief executive of an online trading firm, for failing to act with honesty and integrity
- US
- Commodity Futures Trading Commission and Securities and Exchange Commission sign historic memorandum of understanding on regulatory harmonization
- Securities and Exchange Commission clarifies the application of Federal Securities Laws to crypto assets
- Commodity Pool Operators and Commodity Trading Advisor members: National Futures Association eliminates certain financial reporting obligations by repealing Interpretive Notice 9071
- National Futures Association orders Connecticut-based firm to withdraw from, and not reapply, for NFA membership
- UK, EU & US – Key upcoming dates and deadlines
Click below to view and download our April 2026 Newsletter:
April 2026 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
Our April 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took during the last month in the US and the UK.
This month we cover the following:
- US
- Commodity Futures Trading Commission and Securities and Exchange Commission sign historic memorandum of understanding on regulatory harmonization
- Securities and Exchange Commission clarifies the application of Federal Securities Laws to crypto assets
- Commodity Pool Operators and Commodity Trading Advisor members: National Futures Association eliminates certain financial reporting obligations by repealing Interpretive Notice 9071
- National Futures Association orders Connecticut-based firm to withdraw from, and not reapply, for NFA membership
- UK
- FCA publishes Regulatory Priorities report for Wholesale Buy Side
- FCA’s annual work programme 2026/27: FCA sets out next phase of “smarter, more effective regulation”
- Operational incident and third party reporting: UK regulators confirm new incident and third party rules to bolster resilience
- Non-financial misconduct in financial services: what firms need to do
- Creating a modernised redress system that works better for consumers and firms; Good and poor practice on identifying and rectifying harm
- Consumer understanding: good practice and areas for improvement
- Consumer Composite Investments regime: a guidance note
- FCA bans Kasim Garipoglu, former chief executive of an online trading firm, for failing to act with honesty and integrity
- US, UK & EU – Key upcoming dates and deadlines.
Click below to view and download our April 2026 Newsletter:
April 2026 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
