HM Treasury's February 2026 consultation would make acting as a principal a separate FCA permission and let the Financial Ombudsman reach ARs directly.
CFTC proposal revives Regulation 4.13(a)(4) for SEC-registered advisers only and doubles the small pool cap to $800,000; comments close October 5, 2026.
SEC order 34-106339 exempts broker-dealer annual reports, Form 17-H and swap-dealer compliance reports from Inline XBRL while EU and UK returns stay structured.
FINRA's SR-FINRA-2026-018 would stretch Rule 2165 holds to 145 business days and add a 10-day Rule 2166 fraud delay. SEC comments close September 30, 2026.
ESMA's register shows 14 of the last 16 EEA crypto authorisations went to German co-operative banks, each with one service and no cross-border passport.
ASIC's no-action relief for digital asset firms ends September 30 with over 45 licence applications lodged. What the letter requires and the real penalty.
The SEC's first substantial transfer agent rewrite in 40 years would let a blockchain hold the master securityholder file, but not make it the legal record.
The SEC asked a Philadelphia federal court to force ISS, its own registered investment adviser, to produce ProxyExchange voting data. ISS invokes the First Amendment.
The FCA is scrutinising Annex 1 registrations under the Money Laundering Regulations 2017: refusal, cancellation, and how the UK, Ireland, EU and US compare.
The SEC's September 3 proposal (IA-6994, File S7-2026-31) would rescind rule 206(4)-5, ending the two-year compensation timeout on adviser contributions.
The FCA fined two former Dolfin executives £446,800 and banned them over a £25.2m visa scheme. A third co-founder contests his ban at the Upper Tribunal.
Australia's Scams Prevention Framework entered phase two on September 1, 2026, but its banking perimeter follows prudential charter, not scam exposure.
The CFTC's request for comment on compute derivatives, RIN 3038-AF77, asks whether an index its own suppliers administer can settle a futures contract.
ASIC Instrument 2026/482 counts cash-settled swaps at full notional from December 4, 2026: clients file at 5%, dealers only at 20% and not in a notice.
HM Treasury designated AWS, Google Cloud, Microsoft and Oracle as Critical Third Parties from July 13, 2026 — but FSMA gives regulators no power to fine them.
The CFTC has proposed deleting the SEF order-book mandate for permitted transactions. What § 37.3(a)(2) changes, and how the EU and UK got there first.