News from the economy, politics and the financial markets
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OFAC Issues Sanctions Advisory on Sham Transactions, Identifies Red Flags
On March 31, 2026, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) published a Sanctions Advisory, titled “Guidance on Sham Transactions and Sanctions Evasion.” The Advisory highlights sanctions risks arising from “sham transactions” used to evade sanctions and describes factors for identifying property that may be the subject of a sham transaction....By: Akin Gump Strauss Hauer & Feld LLP
White House Releases FY2027 Presidential Budget Request
On April 3, 2026, the White House released a top-level look at its Fiscal Year (FY) 2027 Presidential Budget Request (PBR). We expect more specific information to be released in the coming days and weeks. While the budget is not a binding document, it serves as a statement of the administration’s policy priorities and a guidepost or a basis of comparison for congressional appropriators as they develop FY2027 spending bills....By: Akin Gump Strauss Hauer & Feld LLP
UK FCA Handbook Notice 139
The UK Financial Conduct Authority (FCA) has published Handbook Notice No. 139, outlining amendments to the FCA Handbook...By: A&O Shearman
European Commission Takes Action To Ensure Complete And Timely Transposition Of EU Directives
The European Commission (EC) has announced that it is taking action against several EU member states that have failed to notify it of measures they have adopted to transpose EU directives into their national laws....By: A&O Shearman
Tenth Circuit Grants En Banc Rehearing in Colorado DIDMCA Opt-Out Case, Vacating Prior Panel Decision
The Tenth Circuit has granted rehearing en banc in National Association of Industrial Bankers v. Weiser, vacating its November 10, 2025, panel decision that had allowed Colorado to apply its Uniform Consumer Credit Code (UCCC) interest-rate caps to loans made by out-of-state, state-chartered banks to Colorado borrowers. The court’s prior judgment is vacated, issuance of the mandate is stayed, and the case is reopened for en banc consideration....By: Troutman Pepper Locke
Why the New “Penalty-Free” Emergency 401(k) Withdrawal Deserves a Closer Look
The headline sounds reassuring: many employers now offer a penalty-free emergency withdrawal from a 401(k). On its face, allowing participants to access up to $1,000 without the 10% early-distribution penalty feels like a sensible, humane change. And in some cases, it is. But like many SECURE 2.0–era provisions, the simplicity of the headline masks the complexity underneath....By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
Implementing Regulation Amending ITS To Support Pillar 3 Data Hub
Commission Implementing Regulation (EU) 2026/722 amending Implementing Regulation (EU) 2024/3172 was published in the Official Journal of the European Union (OJ). The Regulation amends the implementing technical standards (ITS) on public disclosures under the Capital Requirements Regulation (CRR) to support the introduction of the European Banking Authority's (EBA) Pillar 3 Data Hub and its single access point for disclosures....By: A&O Shearman
[Video] AI Today in 5: April 7, 2026, The AI Governance Edition
Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In 5. All, from the Compliance Podcast Network. Each day, we consider five stories from the business world, compliance, ethics, risk management, leadership, or general interest about AI. Top AI stories include: • AI for auditing. (FT):...By: Thomas Fox - Compliance Evangelist
UK Equity Capital Markets Insights — April 2026
On 26 March, FTSE Russell announced a change in its inclusion criteria for its FTSE UK Index Series to align the minimum free float requirement for both UK incorporated and non-UK incorporated companies. The announcement follows consultation on the subject launched in January (for more information, see the February edition of this newsletter)....By: Paul Hastings LLP
New CFTC Enforcement Director Outlines Updated CFTC Enforcement Priorities, Previews New Cooperation Advisory, and Warns on Prediction Market Misconduct
New Commodity Futures Trading Commission (CFTC) Director of Enforcement David I. Miller made several significant announcements in remarks at NYU Law School on March 31. Miller discussed what the CFTC Division of Enforcement (the Division) will prioritize during his term, drew attention to reported misconduct in prediction markets, and outlined upcoming changes to the Division’s staff advisory on cooperation....By: Lowenstein Sandler LLP
Treasury Proposes GENIUS Act Rule, CFTC Challenges States, DOL Expands Alternative Investments in 401(k)s, Congress Releases Updated Crypto Tax Bill
The Treasury Department issued a notice of proposed rulemaking for determining whether a state-level regulatory regime is substantially similar to the federal regulatory framework under the GENIUS Act. The CFTC filed lawsuits challenging the actions of Arizona, Connecticut and Illinois against CFTC-registered designated contract markets, asserting the CFTC’s exclusive jurisdiction to regulate event contracts under the Commodity Exchange Act....By: Paul Hastings LLP
The Website Mistake That Can Hurt Your Private Offering
Imagine you’re a startup founder in the middle of a capital raise. Revenue is climbing. A few well-known angels are in the round, so you refresh your website to highlight your company’s momentum: “Rapid national expansion.” “Backed by experienced investors.” “Join us as we scale.”...By: Procopio, Cory, Hargreaves & Savitch LLP
Choosing SAFE Investors: What early-stage founders should consider
Nick Feldman and Cody Peterson, partners in Orrick's Technology Companies Group, share practical guidance on building an early investor base. Learn about: The administrative burden of managing many small investors through future financing rounds Why leading venture investors may require all SAFE holders to sign documents at conversion – regardless of contractual obligations How to think about investor expectations and cooperation in future transactions...By: Orrick, Herrington & Sutcliffe LLP
Which Legal Issues Should Commercial Real Estate Sponsors Prioritize in a High-Rate, Low-Volume Market?
With interest rates elevated and transaction velocity significantly reduced, many commercial real estate (CRE) sponsors have shifted from acquisition-oriented strategies to asset management and capital preservation....By: Woods Rogers
FinCEN Issues Advisory to Financial Sector Enhancing Obligations with Respect to Policing Health Care Fraud Schemes
On March 30, 2026, as part of the Trump Administration’s commitment to rooting out fraud against the government, the United States Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued an advisory “to urge financial institutions to be vigilant in identifying and reporting suspicious transactions potentially related to health care fraud schemes targeting Medicare, Medicaid, and other Federal and state health care benefit programs.” This advisory applies to a broad...By: Maynard Nexsen
Enforcement News: Financial Elder Abuse, Vulnerability, and the SEC’s Enforcement Response
Financial abuse of seniors and other vulnerable adults is among the most damaging and the least visible forms of investor harm. It arises when age, illness, cognitive decline, or dependence on trusted professionals erodes an individual’s ability to evaluate advice or resist coercion, even while legal capacity nominally remains intact......By: Freiberger Haber LLP
SEC Rescinds Crypto Accounting Rule: What It Means for Money Transmitters and Digital Asset Custody
Accounting Barriers Fall for Banks, Federal Regulators Clear the Path, and the GENIUS Act Reshapes the Competitive Landscape, but State-Regulated Money Transmitters Face Mounting Indirect Pressure...By: Ankura
[Video] Innovation in Compliance: Dr. Rohan Lall: Innovation, Clinical Evidence, and Compliance in Electrifying Spine Surgery
Innovation occurs across many areas, and compliance professionals need not only to be ready for it but also to embrace it. Join Tom Fox, the Voice of Compliance, as he visits with top innovative minds, thinkers, and creators in the award-winning Innovation in Compliance podcast. In this episode, host Tom Fox visits with Dr. Rohan Lall, a clinically trained Neurological Surgeon and Chief Medical Officer of SynerFuse, about innovation in spine surgery and the compliance infrastructure needed to...By: Thomas Fox - Compliance Evangelist
[Video] Daily Compliance News: April 7, 2026, The Corporate Retreat from Hell Edition
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional. Top stories include: • AI in auditing. (FT):...By: Thomas Fox - Compliance Evangelist
Off-the-Table: Pre-Exit Founder Liquidity in Venture-Backed Startups
For founders and executives at venture-backed startups, equity is often the centerpiece of compensation – and the primary driver of long-term wealth. But unlike cash compensation, that equity is typically illiquid for years. Outside of an IPO or a sale of the company, opportunities to turn shares into cash are limited, tightly controlled and often more complex than anticipated....By: Farrell Fritz, P.C.
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