Ratings providers will be subject to a number of existing FCA rules, as well as bespoke regulatory requirements, which will require a significant uplift to systems and processes.
By Nicola Higgs, Becky Critchley, Anne Mainwaring, and Jaime Martin
Following HM Treasury finalising legislation (subject to final parliamentary approval) to introduce a new
The new unit aims to protect retail investors and foster innovation by addressing cyber-related misconduct and emerging technology fraud.
By Margaret Graham, Michael H. Rubin, Nathan H. Seltzer, and Douglas K. Yatter
On February 20, 2025, the Securities and Exchange Commission (SEC) announced the establishment of the Cyber and Emerging Technologies Unit
The FDIC seeks to stick to its statutory mandate while reducing impediments to fintech, innovation, mergers, bank formation, and efficient supervision.
By Arthur S. Long, Pia Naib, and Deric Behar
Just one day after being named acting chairman of the Federal Deposit Insurance Corporation (FDIC), Travis Hill revealed an agenda of priorities for
In this publication and podcast series, we explore some of the core focus areas for UK-regulated financial services firms in the year ahead.
In 2024, we saw disruption to the regulatory reform agenda as the unexpected timing of the general election impacted work and publication schedules. Now that the reform agenda is back on track
As AI use proliferates, the advisory reminds CFTC-regulated entities of their existing obligations and the CFTC’s intention to monitor for ongoing risks.
By Douglas K. Yatter, Yvette D. Valdez, Margaret Graham, Hanyu (Iris) Xie, Adam Bruce Fovent, Mia Stefanou, and Deric Behar
On December 5, 2024, the staff of
Key risk areas for SEC registrants include standards of conduct, complex products, cybersecurity, digital engagement, and artificial intelligence.
By Latham & Watkins Investment Funds — Regulatory Strategy, Financial Regulatory, FinTech, and Commodities and Derivatives Regulation & Enforcement practices
On October 21, 2024, the Securities and Exchange Commission’s (SEC) Division of Examinations (the Division)
The white paper examines how generative AI might shape the global derivatives markets, including new opportunities for industry stakeholders.
ISDA Future Leaders in Derivatives (IFLD) is a cohort of emerging leaders in the derivatives space representing financial services institutions, buy- and sell-side firms, and law firms (including Latham & Watkins, represented by associate Naffie Lamin).
Fighting financial crime, protecting consumers’ needs, and bolstering wholesale markets are the regulator’s key priorities for the year ahead.
By Rob Moulton, Nicola Higgs, Becky Critchley, and Charlotte Collins
On 19 March 2024, the FCA published its Business Plan for 2024/25, setting out its priorities for the year ahead. While the