Our November 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
- Senior Managers and Certification Regime: the FCA proposes substantial Phase 2 simplification
- FCA reviews conflicts of interest and fair customer treatment in private markets
- AI in financial services: good practice and areas for improvement
- FCA proposes updates to its Financial Crime Guide: CP26/38
- HSBC banker banned from financial services for evading £5,900 in train fares
- Three arrests in major FCA operation against criminal insider dealing ring
- Preparing for the new transaction reporting regime: CP26/34
- Market Watch 86
- Strong compliance functions support trusted corporate finance markets
- Cryptoasset Perimeter Guidance: CP26/36
- Fair redemption terms for authorised funds investing in illiquid assets: CP26/35- New rules to make long-term investment funds clearer
- FCA streamlines product-level climate disclosures for asset managers
- US
- Securities and Exchange Commission releases Fiscal Year 2027 Examination Priorities
- SEC publishes new Exam Handbook: a clearer examination roadmap
- SEC proposes tailored crypto-asset custody framework
- SEC and Autorité des Marchés Financiers sign new supervisory cooperation agreement
- UK & Global, EU, US
- Key upcoming dates and deadlines
Click below to view and download our November 2026 Newsletter:
November 2026 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
Our November 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last month in the US and the UK.
This month we cover the following:
- US
- Securities and Exchange Commission releases Fiscal Year 2027 Examination Priorities
- SEC publishes new Exam Handbook: a clearer examination roadmap
- SEC proposes tailored crypto-asset custody framework
- SEC and Autorité des Marchés Financiers sign new supervisory cooperation agreement
- UK
- Senior Managers and Certification Regime: the FCA proposes substantial Phase 2 simplification
- FCA reviews conflicts of interest and fair customer treatment in private markets
- AI in financial services: good practice and areas for improvement
- FCA proposes updates to its Financial Crime Guide: CP26/38
- HSBC banker banned from financial services for evading £5,900 in train fares
- Three arrests in major FCA operation against criminal insider dealing ring
- Preparing for the new transaction reporting regime: CP26/34
- Market Watch 86
- Strong compliance functions support trusted corporate finance markets
- Cryptoasset Perimeter Guidance: CP26/36
- Fair redemption terms for authorised funds investing in illiquid assets: CP26/35- New rules to make long-term investment funds clearer
- FCA streamlines product-level climate disclosures for asset managers
- UK & Global, EU, US
- Key upcoming dates and deadlines
Click below to view and download our November 2026 Newsletter:
November 2026 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
