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Thoughts on LIFE: Practical Considerations for Issuers
A significant number of reporting issuers, particularly junior mining issuers, have taken advantage of the listed issuer financing exemption (“LIFE” or the “Exemption”) to raise limited amounts of capital since it was introduced in November 2022. Following a significant increase to the capital-raising threshold under the Exemption in May 2025, LIFE offerings have continued to gain momentum with the emergence of larger offerings and expanded dealer participation....By: Stikeman Elliott LLP
Investment Adviser Obligations in a Hot IPO Market
The U.S. initial public offering (IPO) market has entered 2026 with substantial momentum. In 2025, approximately 202 companies with a market capitalization of more than $50 million priced IPOs, which was up from 150 companies pricing IPOs in 2024. Market participants are anticipating an even more active year as we progress through 2026, including highly anticipated IPOs from SpaceX and expected IPOs from AI and digital infrastructure companies, including Databricks, Anthropic, and OpenAI....By: Baker Donelson
REVERSEinquiries Newsletter, Volume 7, Issue 3
Index-Provider Readiness: Will Indices Change their Rules for IPO Stocks? A lot has been written about the importance of indices. Index providers, whether the large providers responsible for benchmark indices or smaller index providers, regularly develop and maintain a myriad of indices. These indices may be designed to reflect an investment thesis; the performance of a sector, a region, an asset class or a particular market measure; or any other of a variety of objectives. In any event, index...By: Mayer Brown
DOJ’s Post-Chastain Playbook: How Insider Trading Theories Are Expanding Into Prediction and Crypto Markets
Introduction - Insider trading traditionally refers to trading public securities based on material nonpublic information (“MNPI”) in breach of a duty of trust, confidence, or loyalty. Liability can arise under multiple overlapping theories, including the classical theory (corporate insiders trading in their company’s securities), the misappropriation theory (outsiders obtaining and misusing a corporation’s confidential information), and tipping liability (individuals improperly sharing MNPI...By: Cohen & Gresser LLP
Notice No. 6/2026 – PGFN Publishes Notice on Tax Settlement for the Regularization of Outstanding Debts
The Office of the Attorney General of the National Treasury (Procuradoria-Geral da Fazenda Nacional, "PGFN") has published Notice No. 6/2026, which sets forth the conditions for taxpayers to adhere to the PGFN's tax settlement proposal for the regularization of debts of up to BRL 45 million enrolled in the Federal Government's outstanding tax debt registry....By: Mayer Brown
From Models to Agents: Rethinking Intelligence in Financial Systems
Banking is starting to change how it uses artificial intelligence (AI) in everyday decisions. In the past, banks relied on structured models designed to produce consistent, predictable results. Now, there is growing interest in “agent-based” systems that go beyond making predictions — they can also interact, coordinate tasks, and take action. Rather than replacing existing models entirely, this shift is better understood as a new way of building and using systems alongside what already exists....By: Ankura
Restructuring a Lab: What to Test For
This article provides a practitioner-driven framework for diagnosing and restructuring financially distressed clinical laboratories operating in an increasingly hostile reimbursement and regulatory environment. Originally Published by ABI Journal - May 2026....By: J.S. Held
UK FCA Consults on Simplifying Climate-Related Reporting for Investment Products
The FCA is proposing to replace its detailed TCFD-based product disclosures with a more flexible, outcomes-focused approach....By: Latham & Watkins LLP
PRA Publishes Policy Statement on Insurance Third-Country Branches: Policy Implementation and Other Updates
On 21 May 2026, the Prudential Regulation Authority (PRA) published Policy Statement PS13/16 (“Insurance Third-Country Branches: Policy Implementation and Other Updates”), along with several appendices, finalising reforms to the UK regulatory framework for insurance third-country branches....By: Skadden, Arps, Slate, Meagher & Flom LLP
The EU's 20th Sanctions Package Against Russia
On 23 April 2026, the Council of the European Union adopted its 20th package of sanctions against Russia. The package represents a material expansion of the EU's sanctions framework, expanding existing prohibitions across the energy, financial services, and trade sectors, as well as activating the new anti-circumvention tool for the first time....By: Ropes & Gray LLP
McDermott HealthEx takeaways: Operational capabilities hold the key to capital
Healthcare remains one of the most resilient sectors in the US economy, supported by strong long-term demand drivers, growing investment in new modes and models of care, and rapid technological advancement across the ecosystem....By: McDermott Will & Schulte
Monthly Deposits – Issue #3 - MoFo’s Bank Regulatory Newsletter
Welcome to the third issue of Monthly Deposits: MoFo’s Bank Regulatory Newsletter, which provides an overview of recent developments in U.S. bank regulation, including proposed rules, reforms, and other significant updates. Here we cover some of the key developments from the past month that our team is keeping an eye on....By: Morrison & Foerster LLP
Approved Claims Rates in Securities Class Actions Updated Evidence from 2015–2024 Rule 10b-5 Settlements
Using data from over 350 Rule 10b-5 securities class action settlements from 2015 to 2024, this study compares total approved damages claims calculated by settlement claims administrators (Approved Claims) to a standardized measure of plaintiff-style estimates of aggregate damages (Plaintiff-Style Damages)....By: Cornerstone Research
The Standard Formula: Encyclopaedia of Prudential Solvency – Chapter 11: Prudential Solvency Regimes in Latin America
This chapter discusses select prudential solvency regimes in Latin America, covering Brazil, Chile, Mexico, Argentina and Colombia. These five jurisdictions offer instructive comparative perspectives on the trajectory of regulatory modernisation in the region’s insurance markets....By: Skadden, Arps, Slate, Meagher & Flom LLP
GAO Highlights Critical Gaps in CTA Interim Final Rule
The U.S. Government Accountability Office (GAO), the investigative arm of Congress, often called the congressional watchdog, spoke out against the U.S. Treasury Department’s interim final rule narrowing the Corporate Transparency Act (CTA), warning that the now-gutted law could open the door to fraudulent activity....By: Rivkin Radler LLP
Dual registrant regulatory roundup - June 2026
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the previous month that are of interest to retail broker-dealer and investment adviser firms....By: Eversheds Sutherland (US) LLP
FDIC Files Amicus Brief Supporting Challenge to Colorado’s Opt-Out Interest Rate Law
On June 4, 2026, the Federal Deposit Insurance Corporation (FDIC) filed an amicus brief in the en banc proceedings pending before the U.S. Court of Appeals for the Tenth Circuit in National Association of Industrial Bankers v. Weiser, strongly supporting the plaintiffs-appellees’ challenge to Colorado’s attempt to apply its usury laws to loans made by out-of-state, state-chartered banks....By: Ballard Spahr LLP
Saudi Arabia: CMA consults on new regulatory framework for public offerings of asset-backed securities
The Saudi Capital Market Authority (CMA) published in April 2026 its consultation paper relating to draft amendments introducing new disclosure, risk retention, and reporting requirements for public Asset-Backed Securities (ABS) offerings by Special Purposes Entities (SPEs) – for now, private placements and exempt offers remain largely unaffected....By: White & Case LLP
CFPB and FinCEN Sharpen Focus on Non‑Work Authorized Populations, Ability to Repay, and BSA/AML Risk
Federal regulators recently took two coordinated steps that significantly shift expectations for how lenders and banks treat non‑work authorized individuals and their employers. On June 5, the Consumer Financial Protection Bureau (CFPB or Bureau) issued a formal statement on how immigration status should factor into ability‑to‑repay determinations under the Truth in Lending Act (TILA) and Regulation Z....By: Troutman Pepper Locke
Les ACVM proposent une nouvelle dispense autorisant les rachats sélectifs dans le cadre d’offres publiques de rachat
Le 14 mai 2026, les Autorités canadiennes en valeurs mobilières (les « ACVM ») ont amorcé une période de consultation de 90 jours concernant une série de modifications proposées aux régimes de déclaration en lien avec les offres publiques de rachat et d’achat et la propriété véritable. Les modifications proposées au Règlement 62‑104 sur les offres publiques d’achat et de rachat introduiraient notamment une nouvelle dispense relative aux offres publiques de rachat afin d’autoriser un émetteur à...By: Blake, Cassels & Graydon LLP
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