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[Video] 10 For 10: Top Compliance Stories For the Week Ending December 6, 2025
Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings you the compliance stories you need to know to end your busy week. Sit back, and in 10 minutes, hear about the stories every compliance professional should be aware of from the prior week. Every Saturday, 10 For 10 highlights the most important news, insights, and analysis for the compliance professional, all curated by the Voice of Compliance,...By: Thomas Fox - Compliance Evangelist
Agentic AI in Financial Services: Regulatory and Legal Considerations
As AI evolves, agentic AI has emerged as one of 2025's defining tech trends - autonomous AI systems capable of decision-making and executing complex tasks with limited or no human input. Financial institutions are already exploring and adopting agentic AI to boost efficiency, scalability, and innovation. However, with transformative potential comes legal, and regulatory risks, particularly when third-party AI agents act on behalf of customers. This article explores the legal risks financial...By: Hogan Lovells
New LME Strategy Targets Sacred Payment Rights Through Grace Period and Default Amendments
Market participants are increasingly focused on a developing liability management strategy in which borrowers and majority lenders are exploring whether amendments to grace periods and Event of Default provisions can be used to delay both interest and principal payments (including payments due at maturity) without expressly modifying “sacred rights” under the credit agreement....By: Goulston & Storrs PC
Bringing Back Smaller IPOs?
Earlier this week, Securities and Exchange Commission Chair Atkins gave remarks that provided a perspective on measures intended to promote capital formation. Speaking at the New York Stock Exchange, of course, he noted the now all too familiar statistics regarding the decline in the number of public companies in the United States—from over 7,000 in the mid-1990s to nearly 4,000 at present....By: Mayer Brown Free Writings + Perspectives
UK Proposals for the Regulation of ESG Ratings
From 29 June 2028, any firm wishing to provide certain types of “ESG rating” in the UK will need FCA authorisation. The government consulted on this in 2023, and in October 2025 it published draft legislation to implement this. Under the proposals the provision of ESG ratings will become a new form of regulated activity....By: Hogan Lovells
SEC Releases 2026 Examination Priorities: Key Implications for Private Fund Advisers
Summary Exam focus remains anchored in longstanding concerns: fiduciary duties, conflicts of interest, valuation, fees and expenses, operational resiliency, and disclosures and filing obligations, despite greater transparency and more consistent engagement with registrants....By: Akerman LLP
2026 Cost-of-Living Adjustments for Benefit Plans
The IRS has released the 2026 cost-of-living adjustments to certain limits, thresholds and penalties that apply to employee benefits plans and programs. The following charts provide the applicable limits for 2026 in comparison to 2025....By: Nelson Mullins Riley & Scarborough LLP
SEC Further Delays Securities Lending and Short Position Reporting Compliance
On December 3, 2025, the Securities and Exchange Commission (SEC) issued an exemptive order extending the compliance dates for two rules: Rule 10c-1a (Reporting of Securities Loans) Rule 13f-2 (Short Position and Short Activity Reporting) The extension effectively pauses implementation for two years. While the extension provides relief to market participants facing imminent compliance deadlines, the lengthy delay signals potential uncertainty regarding the ultimate fate of these highly...By: Orrick, Herrington & Sutcliffe LLP
Payments Conference 2025 – Key Takeaways
On 20th November 2025 we were delighted to host banks, payments firms, FinTechs, legislators, regulators, and policymakers at our London office for the Hogan Lovells Payments Conference 2025. At the event we explored key themes such as AI driven innovation across the payments value chain, the rise of digital currencies such as stablecoins and CBDCs, and the future of payments regulation – highlighting how evolving frameworks must balance consumer protection with enabling innovation – as well as...By: Hogan Lovells
Streamlined Measures on Post-Authorisation Matters for SFC-Authorised UCITS Funds in Hong Kong
Under the current regime, eligible UCITS funds from specified jurisdictions are afforded a streamlined authorisation process with the SFC in order to be marketed and sold to retail investors in Hong Kong. All SFC-authorised UCITS funds must comply with the relevant Hong Kong requirements in relation to post-authorisation matters....By: Hogan Lovells
Mutual Recognition of Funds Between Ireland and Hong Kong: A Guide for Irish UCITS Seeking Hong Kong Market Access
In May 2025, the Securities and Futures Commission (the “SFC”) formally launched the mutual recognition of funds arrangement between Hong Kong and Ireland (the “Ireland-HK MRF”) in collaboration with the Central Bank of Ireland (the “CBI”), which marks a significant milestone in facilitating cross-border fund distribution between the two jurisdictions. Building on a 1997 co-operation framework, the Ireland-HK MRF streamlines the SFC authorisation process for eligible Irish UCITS and offers...By: Hogan Lovells
Relationships, Rigor and Relentless Detail, December 2025 - Player Profile - Meet Mike Wiederecht and Matt Ziemer
Based in New York, Mike has over 13 years of banking experience, and a degree in finance and mathematics from the University of Notre Dame. With PNC since 2014, Matt is based in Philadelphia and has a degree in economics and sociology from Washington and Lee University....By: Cadwalader, Wickersham & Taft LLP
Cyberattack Targets in 2025: Which Industries Get Hit, How Attackers Get In, and What the Law Now Expects
Companies that map data breach trend lines against industry-specific obligations can convert raw statistics into risk governance strategies. This exercise can be especially valuable amid fast-shifting attack techniques, defensive technologies, and enforcement priorities....By: Parker Poe Adams & Bernstein LLP
Enhancing Banks’ and Insurers’ Approaches to Managing Climate-Related Risks
On 3 December 2025, the PRA published Policy Statement 25/25 (PS25/25), finalising proposals from CP10/25 and introducing Supervisory Statement 4/25 (SS4/25). This replaces SS3/19 and sets out updated expectations on how banks and insurers should manage climate-related financial risks....By: BCLP
The Rise of Lifetime Income Options
Traditional pensions, known as defined benefit plans, have been on the decline since their heyday in the 1960s. Guaranteed lifetime income was a key feature of traditional pension plans. Benefits under a plan would be paid monthly to individuals after retirement until their death. There also was the possibility of spousal benefits being paid for the life of the participant’s spouse. Defined benefit plans insulated participants from longevity risk and market risk....By: Carlton Fields
Cross-Border Developments: A Comparison of UK and U.S. Regulatory Frameworks for Stablecoins
Stablecoins—digital tokens designed to maintain a stable value by being pegged to fiat currencies—have emerged as a critical bridge between traditional finance and the digital asset ecosystem. Both the United Kingdom and the United States are now advancing respective regulatory frameworks aimed at integrating stablecoins used in payments into their broader financial systems. While each regime aims to safeguard consumers, maintain market integrity, and foster responsible innovation, we outline...By: Morrison & Foerster LLP
SFDR 2.0: What Are the Key Proposed Changes?
The EU Commission estimates that the proposed 15% Taxonomy alignment threshold should be attainable for about half of the current investment funds disclosing under Article 9....By: Paul Hastings LLP
Calling all Independent Non-Executive Directors (INEDs) – the Cayman Islands Needs You!
The old saying that “Independent Directors are like parsley on a fish: technically they are there, but they are largely decorative” is now very much defunct in the context of the Cayman Islands (re)insurance industry....By: Conyers
California market-based sourcing rules to impact asset managers
Under a regulation recently finalized by the California Franchise Tax Board (FTB), fees received by asset managers may be subject to income tax in California based on the domicile of a fund’s underlying investors or beneficial owners....By: McDermott Will & Schulte
The PRA’s Discussion Paper on Alternative Life Capital: A New Dawn?
On 14 November 2025, the Prudential Regulation Authority (PRA) published Discussion Paper 2/25, “Alternative Life Capital: Supporting Innovation in the Life Insurance Sector,” which starts the PRA’s engagement with stakeholders in the UK life insurance sector on policy changes to enable UK life insurers to raise alternative capital by transferring defined tranches of risk to capital markets....By: Skadden, Arps, Slate, Meagher & Flom LLP
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