News from the economy, politics and the financial markets
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FDIC and OCC Finalize Rule Removing Reputation Risk From Most Supervisory Actions
On April 7, the Federal Deposit Insurance Corporation (“FDIC”) and the Office of the Comptroller of the Currency (“OCC”) approved a final rule that prohibits regulators from using "reputation risk" as a standalone basis for supervisory or enforcement actions. This final rule is adopted largely as proposed in October....By: Cadwalader, Wickersham & Taft LLP
Recent FinCEN Advisory Highlights Rising Health Care Fraud Risk for Financial Institutions
As the federal government intensifies its “whole of government” approach to combat fraud, waste, and abuse, particularly in Federal Health Care Benefit Programs, financial institutions face growing exposure to health care fraud proceeds moving through domestic and cross‑border financial systems. Last week, FinCEN, in coordination with the FBI and HHS‑OIG, issued a new advisory urging heightened vigilance and robust reporting of suspicious activity......By: Verrill
It’s April, Do You Know Where Your California Digital Assets License Is?
California's new licensing regime for digital financial asset businesses is no longer on the horizon, it is here. The California Department of Financial Protection and Innovation (DFPI) opened its application portal last month, and the July 1, 2026 compliance deadline is now less than three months away. For companies that anticipate serving California residents with covered digital financial assets services, there is a significant advantage to having a license application in by July 1....By: Jenner & Block
[Video] AI in Healthcare: Five Healthcare AI Stories You Need to Know This Week - April 10, 2026
Welcome to AI in Healthcare in 5 Stories. This podcast is a Weekly Briefing of the five most important AI developments shaping healthcare, medicine, and life sciences. Each week, Tom Fox breaks down the latest stories on clinical innovation, regulation, privacy, compliance, patient safety, and operational transformation through a practical, business-focused lens. Designed for healthcare compliance professionals, executives, legal teams, clinicians, and industry leaders, the podcast moves beyond...By: Thomas Fox - Compliance Evangelist
Announcement of Enforcement Results and Appointment of New Enforcement Director Provide Roadmap for What’s Next for the SEC
This week, the SEC took two steps that could define what’s next for its enforcement program: it named David Woodcock — a former Regional Director at the SEC and a current Gibson Dunn partner — as the new Director of the Division of Enforcement, and released the Division’s fiscal year 2025 results. Both announcements signal that, despite its full-throated critiques of the last administration’s approach to enforcement, the SEC intends to......By: Jenner & Block
No Guarantee: Caution From Second Circuit For Lenders Relying On Unsecured Guarantees
A U.S. appellate court recently issued a cautionary decision for lenders depending on unsecured guarantees by parent companies and affiliates of their borrowers. In Leadenhall Capital Partners LLP v. Advantage Capital Holdings, LLC, the U.S. Court of Appeals for the Second Circuit vacated a district court’s preliminary injunction that froze guarantors’ assets to prevent their dissipation before final judgment....By: Herbert Smith Freehills Kramer
Why .Pay Is a Critical New Domain for Brand Owners in Payments, Fintech, and Financial Services
The Internet Corporation for Assigned Names and Numbers (ICANN) is rolling out a new generic top-level domain (gTLD): .pay. Marketed by the registry as an extension dedicated to enabling secure online payment transactions, .pay is positioned to become a high-value namespace for any business that accepts, processes, or facilitates payments online....By: Carlton Fields
MoFo's Financial Markets & Innovation - April 10, 2026
Please see below for this week’s Financial Markets & Innovation Weekly Update from Morrison Foerster, tracking how emerging technologies are reshaping financial markets and how U.S. and global regulators are responding. Covering developments across digital assets, prediction markets, artificial intelligence, and next-generation trading infrastructure, this update highlights key regulatory actions, enforcement activity, policy signals, and related market structure implications....By: Morrison & Foerster LLP
Fiduciary Duties in Selecting Designated Investment Alternatives — A Presentation Resource
On March 30, 2026, the Employee Benefits Security Administration of the Department of Labor released a proposed rule that would provide a safe harbor for fiduciaries of qualified defined contribution retirement plans to satisfy ERISA’s duty of prudence when selecting designated investment alternatives. The proposed rule would implement Section 3(c) of President Donald Trump’s executive order 14330, “Democratizing Access to Alternative Assets for 401(k) Investors.”...By: McGuireWoods LLP
Bankruptcy Court Addresses Fiduciary Duties of Restructuring Professionals
On March 17, 2026, the United States Bankruptcy Court for the District of Connecticut issued a decision in Old CP, Inc. v. Novo Advisors, LLC (Adv. Pro. 23-02020) that provides important guidance on the fiduciary obligations of restructuring professionals. The decision is particularly notable for treating chief restructuring officers (“CROs”) and financial advisors as fiduciaries subject to the same stringent duties of loyalty, disclosure, and conflict-of-interest avoidance as corporate officers...By: Thompson Coburn LLP
CFTC Enforcement Director Miller Announces Enforcement Priorities, Including a Focus on Insider Trading in Prediction Markets
David Miller, the newly appointed director of the CFTC’s Division of Enforcement, recently outlined the agency’s enforcement priorities, including in the $400 trillion swaps markets, which encompasses prediction markets. Although he emphasized a shift from “regulation by enforcement,” Miller promised that the CFTC “enforcement program will relentlessly focus on serious violations, especially fraud and market manipulation.”...By: Morrison & Foerster LLP
SEC FY 2025 Enforcement Results Reveal Changing Priorities From Record Numbers to Investor Protection
The Securities and Exchange Commission’s (SEC) April 7, 2026, press release on its fiscal year (FY) 2025 enforcement results is less about numbers and more about a philosophical reset. Under Chairman Paul Atkins and Commissioner Mark Uyeda, who served as acting chair prior to the chairman’s confirmation, the SEC is expressly stepping back from what it characterizes as “regulation by enforcement” and volume‑driven metrics, and recentering on what it has described as fraud, investor harm, and...By: Troutman Pepper Locke
You Filed Your ADV Annual Amendment - What's Next?
The March 31 deadline for the annual Form ADV updating amendment has finally passed for advisers with a December 31 fiscal year end. Filing the amendment is only step one. April is the month to turn attention to what comes next: delivering or offering required documents to clients, confirming your records are in order, and keeping an eye on Q2 filing obligations....By: Stark & Stark
[Video] 2 Gurus Talk Compliance - Episode 74 - The GES Edition
What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s episode! Stories this week include: • Panama Papers 10 years later. (Transparency International): https://www.transparency.org/en/news/panama-papers-10-years • WFH as a risk management strategy. (FT):...By: Thomas Fox - Compliance Evangelist
The 80/20 Rule for Sponsor Meetings: Focus on What Actually Matters
I’ve sat through more retirement plan meetings than I can count, and if there’s one recurring problem, it’s this: too much time spent on things that don’t materially move the needle, and not enough time on the issues that actually drive fiduciary risk and participant outcomes. That’s where the 80/20 rule quietly applies itself to plan governance....By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
FinCEN Proposes Regulations to Implement Whistleblower Program: 4 Key Takeaways
The program provides new financial incentives for whistleblowers to report information about potential violations of money laundering and sanctions laws....By: Latham & Watkins LLP
Sullivan Advises Heath Goldfields In Offtake Agreement and Debt Financing with Trafigura for Bogoso Prestea Mine
Sullivan & Worcester (Sullivan) has advised Heath Goldfields, the Ghanaian mining company revitalising the historic Bogoso–Prestea Gold Mine in Ghana, in signing a landmark gold offtake agreement with Trafigura Pte Ltd, a market leader in the global commodities industry....By: Sullivan & Worcester
Third Circuit Affirms Kalshi’s Preliminary Injunction
On April 4, 2026, the U.S. Court of Appeals for the Third Circuit issued an opinion affirming the District of New Jersey’s order granting Kalshi’s motion for a preliminary injunction against the New Jersey Division of Gaming....By: Skadden, Arps, Slate, Meagher & Flom LLP
Secondaries on the Rise: Q1 2026 Trends in Institutional Sell-Side Activity and Evolving Deal Terms
Following on our recent observations about what institutional investors should know about the Middle East conflict for institutional investors, and the open question of whether declines in public markets would trigger secondary sales,...By: Ropes & Gray LLP
Q1 2026 - European Regulatory Update for Funds
The first quarter of 2026 saw a steady flow of UK and EU regulatory initiatives and updates, which are relevant to European private fund managers as well as non-European managers marketing or operating in Europe....By: Fried Frank
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