News from the economy, politics and the financial markets
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[Video] Episode 404 -- Venezuela Sanctions Update
In this episode, we break down the sweeping shift in U.S. sanctions policy toward Venezuela following the 2026 political transition and the issuance of multiple new general licenses by the Office of Foreign Assets Control. While the U.S. has opened the door to significant commercial activity—particularly in oil, gas, and minerals—this is not a full lifting of sanctions but a highly conditional framework with strict compliance guardrails. Companies can now engage in transactions involving...By: The Volkov Law Group
[Video] Sunday Book Review: April 12, 2026, The Library of America for the Revolution Edition
In the Sunday Book Review, Tom Fox considers books that would interest compliance professionals, business executives, or anyone curious. It could be books about business, compliance, history, leadership, current events, or anything else that might interest Tom. In honor of the upcoming 250th anniversary of the US, in this episode, we look at 4 top books from the Library of America on contemporaneous writings on the American Revolution. • Thomas Jefferson: Writings • George Washington: Writings...By: Thomas Fox - Compliance Evangelist
Second Circuit Affirms Dismissal of Securities Claims Arising from Reverse Split of Exchange-Traded Notes
The United States Court of Appeals for the Second Circuit recently issued a per curiam opinion in Knapp v. Barclays PLC, affirming the dismissal of a putative securities class action arising from a reverse split of exchange-traded notes....By: Cadwalader, Wickersham & Taft LLP
When Funding Pauses: A Drawstop Playbook, April 2026 - Turning Off the Taps: Drawstops in Fund Finance
1. Overview - The term “drawstop” colloquially refers to a provision in a credit facility agreement that entitles lenders to stop advancing loans under a facility upon the occurrence of certain specified events. For most deals, the relevant events would include a default continuing under the facility agreement and any “Repeating Representations” being inaccurate....By: Cadwalader, Wickersham & Taft LLP
CDFI Fund Update: FY 2027 Budget Renews Pressure, but CDFIs Should Stay the Course
The Trump administration's FY 2027 budget request again proposes eliminating core Community Development Financial Institution (CDFI) Fund grant programs and redirecting limited funding toward rural initiatives. However, the true risk facing CDFIs is not the proposal itself, but the administration's ongoing administrative delays in releasing nearly $1 billion in already appropriated CDFI funding....By: Baker Donelson
SEC Announces 2026 Inflation Adjustment to Qualified Client Thresholds
The Securities and Exchange Commission has proposed increasing the “qualified client” thresholds under Rule 205-3, raising the assets-under-management (AUM) and net worth tests. Our Investment Funds Group outlines the likely implications for performance fee eligibility, investor qualifications, and fund operations....By: Alston & Bird
Consumer Protection Roundup
In this article, we'll delve into recent news on financial consumer protection, but before doing so, we'll provide an update on the Consumer Financial Protection Bureau (CFPB)....By: Cadwalader, Wickersham & Taft LLP
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
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