Our March 2025 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place last month in the UK, the EU and the US.
This month we cover the following:
- UK
- Growth of private market requires continued focus on valuations: Financial Conduct Authority (“FCA”) publishes multi-firm review of private market valuation practices
- Latest on the UK Government’s “growth initiative”
- The FCA’s new five-year strategy “to support growth and improve lives”
- FCA feeds back on plans for reviewing FCA requirements
- FCA update on enforcement transparency, diversity & inclusion and non-financial misconduct
- Applying for a Senior Manager function
- FCA’s position on sustainability regulations and UK defence
- Consumer support outcome: Good practices and areas for improvement; Vulnerable customers
- HM Treasury’s latest report on Anti-Money Laundering / Counter-Terrorist Financing supervision
- Supporting artificial intelligence, innovation and growth in financial services
- FCA decides to fine and ban Robin Crispin Odey
- FCA bans former Credit Suisse executives following US criminal conviction
- EU
- Savings and Investments Union strategy published
- Consultation papers for 2025
- US
- Securities and Exchange Commission (“SEC”) updates its Marketing Rule FAQs
- SEC eases verification burdens in Rule 506(c) offerings
- SEC prepares for implementation of amendments to its EDGAR filing system
- Financial Industry Regulatory Authority announces changes to its multi-factor authentication
- SEC charges investment adviser and two officers for misuse of fund assets
- SEC charges New Jersey investment adviser with fraud and other violations
- Key upcoming dates and deadlines
Click below to view and download our March 2025 Newsletter:
March 2025 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
Our March 2025 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place last month in the US, the UK and the EU.
This month we cover the following:
- US
- Securities and Exchange Commission (“SEC”) updates its Marketing Rule FAQs
- SEC eases verification burdens in Rule 506(c) offerings
- SEC prepares for implementation of amendments to its EDGAR filing system
- Financial Industry Regulatory Authority announces changes to its multi-factor authentication
- SEC charges investment adviser and two officers for misuse of fund assets
- SEC charges New Jersey investment adviser with fraud and other violations
- UK
- Growth of private market requires continued focus on valuations: Financial Conduct Authority (“FCA”) publishes multi-firm review of private market valuation practices
- Latest on the UK Government’s “growth initiative”
- The FCA’s new five-year strategy “to support growth and improve lives”
- FCA feeds back on plans for reviewing FCA requirements
- FCA update on enforcement transparency, diversity & inclusion and non-financial misconduct
- Applying for a Senior Manager function
- FCA’s position on sustainability regulations and UK defence
- Consumer support outcome: Good practices and areas for improvement; Vulnerable customers
- HM Treasury’s latest report on Anti-Money Laundering / Counter-Terrorist Financing supervision
- Supporting artificial intelligence, innovation and growth in financial services
- FCA decides to fine and ban Robin Crispin Odey
- FCA bans former Credit Suisse executives following US criminal conviction
- EU
- Savings and Investments Union strategy published
- Consultation papers for 2025
- Key upcoming dates and deadlines
Click below to view and download our March 2025 Newsletter:
March 2025 Monthly Regulatory Newsletter
Click for further blogs on the latest regulatory developments.
