The SEC has proposed amendments requiring brokers and dealers to meet specific due diligence requirements before initiating or resuming quotations for equity securities, including crypto assets structured as equities, outside of national securities exchanges.
Compliance Alert
Broker-Dealer, SEC
Explore how valuation drives net asset value behavior, fees, and liquidity in private credit, and what boards, advisers, and regulators expect under today’s frameworks.
Article
Compliance, Private Credit, Private Funds, SEC
FINRA’s March 2026 amendments expand CAB firm activities, ease supervisory obligations, and adjust rules for PSTs, compensation, institutional investors, and more.
Article
FINRA, Regulatory Compliance
FCA priorities for 2026 highlight outcomes-based supervision and rising expectations for governance and resilience.
Article
FCA, Operational Resilience, Regulatory Compliance
Discover how ACA’s new Market Abuse Surveillance (MAS) backtesting framework helps firms strengthen surveillance, improve data transparency, and meet evolving regulatory expectations.
Article
Market Abuse Framework, Market Abuse Surveillance