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The Providence 401(k) Settlement and the Danger of Treating “Administrative” Issues as Small Stuff
The recent settlement involving Providence Health & Services is one of those cases that makes plan sponsors uncomfortable for the right reasons. There was no allegation of flashy misconduct, no exotic investments, no dramatic collapse of oversight. Instead, the case focused on something many sponsors barely think about: forfeitures....By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
Smart Healthcare Transaction Categorization: Transforming Chaos Into Clarity With AI-Powered Precision
Healthcare organizations process millions of financial transactions every day, spanning patient payments, production data, vendor invoices, and pharmaceutical orders. Each transaction must be accurately categorized to ensure correct reimbursement, compensation, and regulatory compliance....By: Ankura
Release of Updated Model Form Note Purchase Agreements for Private Placement Transactions
On March 31, the American College of Investment Counsel (ACIC) released comprehensive updates to all four Model Form Note Purchase Agreements used in domestic and cross-border private placement transactions....By: ArentFox Schiff
FinCEN’s New Whistleblower Program: A Game-Changer for AML and Sanctions Enforcement
On April 1, the Financial Crimes Enforcement Network (FinCEN) submitted a Notice of Proposed Rulemaking proposing regulations to establish a formal Whistleblower Program under 31 U.S.C. § 5323....By: ArentFox Schiff
Dear Prudence: DOL Proposes Safe Harbor for Defined Contribution Plans
The U.S. Department of Labor (DOL) recently issued proposed regulations providing defined contribution (DC) plan fiduciaries with a prudence-focused safe harbor for any DC plan "designated investment alternatives," including alternative assets such as private equity. This advisory reviews the proposed regulations and the safe harbor's six requirements for DC plans, which includes 401(k) or 403(b) plans....By: Davis Wright Tremaine LLP
The Democratic Republic of the Congo as a Near-Term Strategic Opportunity for U.S. Companies | Part 2
In Part 1, we described why the Democratic Republic of the Congo (DRC) is becoming more investable for U.S. companies that engage selectively and with discipline. That shift carries a corresponding responsibility for executive management: ensuring that any decision to pursue a DRC-linked opportunity is defensible at the board level, not merely executable at the business level. It also carries an enforcement risk dimension......By: Foley & Lardner LLP
Common Ground: Abu Dhabi’s Updated Jointly Owned Property Regime - Structuring Implications for Capital
Recent measures in Abu Dhabi have materially developed the emirate’s legal framework for jointly owned property. The changes are intended to strengthen governance, improve transparency on service charges and support the emirate’s positioning as a sought-after jurisdiction for institutional real estate investment. This client alert outlines the key features of the updated regime and highlights practical implications for developers, lenders and institutional investors....By: King & Spalding
[Video] Compliance into the Weeds: Duty Owed vs. Material Nonpublic Information: Prediction Markets and Compliance
The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it more fully. Looking for some hard-hitting insights on compliance? Look no further than Compliance into the Weeds! In this episode of Compliance into the Weeds, Tom Fox and Matt Kelly discuss prediction markets and their implications for compliance. Tom and Matt focus on the phrase “violation of a duty owed” by employees and...By: Thomas Fox - Compliance Evangelist
Private Equity Dealmaking in a More Demanding Market
Despite recent headwinds, private equity remains highly active. Capital is available, processes are competitive and high-quality assets continue to command attention. But the market is less forgiving. Transactions that once cleared on momentum, liquidity or multiple expansion now must withstand sustained pressure on price, structure, regulatory risk, financing certainty and exit credibility....By: Proskauer Rose LLP
Proposed Rule Seeks to Clarify Fiduciary Duties in Investment Plan Decisions Subject to ERISA, but Risks Remain
The Department of Labor (DOL) recently released proposed regulations regarding the investment of assets of an employee benefit plan governed by the Employee Retirement Income Security Act (ERISA) and the plan fiduciary’s duties under ERISA in connection with selecting designated investment alternatives for a participant-directed individual account plan (including asset allocation funds that include so-called alternative assets)....By: Littler
DOL Proposal and Supreme Court Review Poised to Clarify Fiduciary Standards for Alternatives in 401(k) Plans
A proposed Department of Labor (DOL) rule and the Supreme Court’s review of Andersson v. Intel Corp. could reshape fiduciary standards for alternative investments in 401(k) plans and reduce litigation risk. Our Investment Funds Group outlines how these developments may expand access to private market assets for plan sponsors and participants....By: Alston & Bird
Key Takeaways from CFTC FAQs, Interpretive Guidance, MOUs, and No-Action Relief (February–March 2026)
Our Financial Services Group reviews recent actions by the Commodity Futures Trading Commission (CFTC) affecting derivatives and crypto assets markets, signaling more defined expectations for market participants and increased use of existing authority....By: Alston & Bird
Federal Appeals Court: CFTC Jurisdiction Over Sports Event Contracts Likely Exclusive
A divided panel of the U.S. Court of Appeals for the Third Circuit on April 6, 2026, issued a landmark ruling in KalshiEX LLC v. Flaherty, No. 25-1922, becoming the first federal appellate court to hold that the Commodity Exchange Act (CEA) preempts state gambling laws as applied to sports-related event contracts traded on Commodity Futures Trading Commission (CFTC) registered designated contract markets (DCMs)....By: Holland & Knight LLP
UK FCA And ICO Joint Statement With Expectations On Firms' Approaches To Vulnerability Related Data
The UK Financial Conduct Authority (FCA) and the Information Commissioner's Office (ICO) have published a joint statement clarifying regulatory expectations on the use and sharing of vulnerability related data. The statement explains how firms should approach this in delivering good outcomes for retail consumers under the consumer duty, while complying with UK data protection law....By: A&O Shearman
New IDX Listing Rule: Enhancing free float and governance, but free from challenge?
On March 31, 2026, through Decree No. Kep-00045/BEI/03-2026, the IDX issued its revised rules for listing on the main board and development board (the IDX Listing Rule). The new IDX Listing Rule amends various provisions of its 2021 predecessor and takes immediate effect, subject to transitional periods for certain provisions....By: A&O Shearman
Cayman Islands: Regulatory clarification for Tokenised Funds
The Cayman Islands has updated its investment funds regulatory framework to clarify the treatment of tokenised fund structures and introduce a dedicated regime for their oversight by CIMA....By: Carey Olsen
Fifth Circuit Securities Litigation Quarterly - Q1 2026
Welcome to the Q1 2026 edition of A&O Shearman’s Fifth Circuit Securities Litigation Quarterly. As public companies and financial institutions continue to migrate to Texas, our Texas-based securities litigation team continues to monitor key developments and help our clients navigate the unique landscape for federal securities litigation in the Fifth Circuit. In our Q1 edition, we cover one new class action filing, one new class action settlement, five decisions on pleading stage and class...By: A&O Shearman
New Paradigm for Crypto Assets: A Deep Dive into the SEC's Interpretive Release
On March 17, 2026, the Securities and Exchange Commission (SEC) issued a long-awaited interpretive release (the "Release"), addressing the application of federal securities laws to crypto assets and certain transactions involving crypto assets....By: Venable LLP
Corrigendum To ECB Regulation On Oversight Of Systemically Important Payment Systems
A Corrigendum to Regulation (EU) 2025/1355 of the European Central Bank on oversight requirements for systemically important payment systems, was published in the Official Journal of the European Union. The Corrigendum makes a purely technical correction to recital 2, replacing a typographical error....By: A&O Shearman
UK FCA Findings From Multi-Firm Review On Operational Resilience
The UK Financial Conduct Authority (FCA) has published a new webpage highlighting good and poor practice observed in firms' annual operational resilience self‑assessments following the end of the transition period on 31 March 2025, relating to the application of the FCA's rules. The FCA encourages firms to use these observations to help review and evolve their approaches....By: A&O Shearman
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