Our March 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
- Regulatory Priorities reports: A smarter approach to communicating the FCA’s regulatory priorities
- Consumer Duty board reports: good practice and areas for improvement, updated insights for smaller firms
- Appointed Representatives regime: HM Treasury consults
- Rules for reforming the UK securitisation framework
- Sustainability Disclosure Requirements labels: good and poor practice
- Number of STORs and of market observations received: 2025
- FCA fines two individuals a combined £108,731 for insider dealing
- Upper Tribunal finds that Banque Havilland devised a plan to harm the Qatari economy
- Joint Money Laundering Steering Group published final revisions to its AML and CTF guidance
- US
- SEC issues first major update to Enforcement Manual since 2017, signalling stronger focus on fairness, transparency and efficiency
- SEC issues joint statement on tokenised securities
- SEC charges Illinois investment adviser with breaching its fiduciary duty and contravening its disclosures
- Regulation S-P
- UK, EU & US – Key upcoming dates and deadlines.
Click below to view and download our March 2026 Newsletter:
March 2026 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
Our March 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
- SEC issues first major update to Enforcement Manual since 2017, signalling stronger focus on fairness, transparency and efficiency
- SEC issues joint statement on tokenised securities
- SEC charges Illinois investment adviser with breaching its fiduciary duty and contravening its disclosures
- Regulation S-P
- UK
- Regulatory Priorities reports: A smarter approach to communicating the FCA’s regulatory priorities
- Consumer Duty board reports: good practice and areas for improvement, updated insights for smaller firms
- Appointed Representatives regime: HM Treasury consults
- Rules for reforming the UK securitisation framework
- Sustainability Disclosure Requirements labels: good and poor practice
- Number of STORs and of market observations received: 2025
- FCA fines two individuals a combined £108,731 for insider dealing
- Upper Tribunal finds that Banque Havilland devised a plan to harm the Qatari economy
- Joint Money Laundering Steering Group published final revisions to its AML and CTF guidance
- US, UK & EU – Key upcoming dates and deadlines.
Click below to view and download our March 2026 Newsletter:
March 2026 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
