Our January 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last month in the UK, the EU and the US.
This month we cover the following:
- UK
- 2026 Preview
- Updating the client categorisation regime
- FCA confirms final guidance to tackle serious non-financial misconduct in financial services
- Provisional licences: “learner plates” on the road to FCA authorisation in 2026
- Supporting informed decision making: Final rules for Consumer Composite Investments
- Statement on firms working together to manufacture products or services
- Enhancing fund liquidity risk management
- FCA consults on reducing late fees for regulatory returns
- US
- Securities and Exchange Commission issues additional observations on Advisers Act Marketing Rule compliance
- CFTC no-action letter regarding CPO registration for certain SEC registered investment advisers
- SEC delays short position and securities lending reporting requirements
- National Futures Association orders Delaware-based firm to withdraw from, and not reapply for, NFA membership
- Key upcoming dates and deadlines.
Click below to view and download our January 2026 Newsletter:
January 2026 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
Our January 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took during the last month in the US, the UK and the EU.
This month we cover the following:
- US
- Securities and Exchange Commission issues additional observations on Advisers Act Marketing Rule compliance
- CFTC no-action letter regarding CPO registration for certain SEC registered investment advisers
- SEC delays short position and securities lending reporting requirements
- National Futures Association orders Delaware-based firm to withdraw from, and not reapply for, NFA membership
- UK
- 2026 Preview
- Updating the client categorisation regime
- FCA confirms final guidance to tackle serious non-financial misconduct in financial services
- Provisional licences: “learner plates” on the road to FCA authorisation in 2026
- Supporting informed decision making: Final rules for Consumer Composite Investments
- Statement on firms working together to manufacture products or services
- Enhancing fund liquidity risk management
- FCA consults on reducing late fees for regulatory returns
- Key upcoming dates and deadlines.
Click below to view and download our January 2026 Newsletter:
January 2026 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
