United States: Financial Services

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Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.

Finance Teams That Harness AI Will Lead The Next Wave Of Business Collaboration

The CFO's role has evolved from a back-office steward to a strategic change agent, requiring finance to collaborate more closely with every department.

United States Technology

R

Riveron

Colorado Files Opposition To Plaintiffs' Rehearing Petition In Opt-Out Litigation

As we reported previously, a petition for rehearing en banc was filed by the plaintiff bank trade associations in National Association of Industrial Bankers v. Weiser.

United States Finance

BS

Ballard Spahr LLP

Regulatory Monitoring

BaFin published its yearly update on its report regarding Risks in BaFin's Focus, accompanied by a press release.

United States Finance

AO

A&O Shearman

Regulatory Monitoring: EU Version

The ESRB published a second summary compliance report assessing the implementation of recommendation ESRB/2019/18 on the exchange and collection of information for macroprudential purposes...

European Union Finance

AO

A&O Shearman

CFTC Issues No-action Relief For Private Fund Managers Pending Potential Reinstatement Of Significant CPO Registration Exemption

United States Finance

AO

A&O Shearman

FDIC Creates New Office To Handle Appeals Of Material Supervisory Determinations

United States Finance

BS

Ballard Spahr LLP

Domestically Controlled REIT Ownership Update: Proposed Regulations Would Remove Domestic Corporation Look-through Rule

United States Finance

SR

McDermott Will & Schulte

IRS Housing Bond Audits And Compliance Checks In 2025

United States Tax

KR

Kutak Rock LLP

New OFSI Decision Gives Best Guidance Yet On Sanctions Due Diligence

United States Finance

BC

Bryan Cave Leighton Paisner

AIFMD 2.0 Digest: Investor Disclosures And Reporting (Podcast)

United States Finance

PR

Proskauer Rose LLP

How Does The FCA Tackle Non-financial Misconduct, I.e. Discrimination, Harassment And Similar?

United States Finance

KM

Katten Muchin Rosenman LLP

Compliance Notes - Vol. 7, Issue 3

United States Compliance

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Nossaman LLP

What Asia's Market Initiatives And Nasdaq's New Rules Mean For Asian Companies Eyeing U.S. Listings In 2026

United States Commercial

LL

Loeb & Loeb LLP

US Treasury's Outbound Investment Security Program: Lessons And Insights

Worldwide Finance

SR

McDermott Will & Schulte

Food Venture Financing News – Weekly Issue No. 265

United States Healthcare

DW

Davis Wright Tremaine

Simpson Thacher Sustainability And ESG: Regulatory Update – January 2026

Worldwide Environment

ST

Simpson Thacher & Bartlett

The X Factor In Mediation Success: Why A Consistent Client Experience (CX) Fosters Trust

United States Litigation

J

JAMS

What Europe's Renewable Energy Struggles Can Teach U.S. Regulators About Dispute System Design

United States Litigation

J

JAMS

Beyond Checkmate: Lessons From Chess In The Art Of Mediation

United States Litigation

J

JAMS

Coming Thursday February 12: A First Look At New York's FAIR Business Practices Act — Straight From The AG's Office

We're pleased to announce the upcoming release of a new episode of the Consumer Finance Monitor Podcast, dropping Thursday, February 12 — just days before New York's landmark...

United States Finance

BS

Ballard Spahr LLP

Inside Year One: Finance Developments Under A New Administration

A year into President Trump's second term, policy signals from Washington are increasingly influencing capital allocation, underwriting assumptions, and sector-level opportunity.

United States Finance

BS

Ballard Spahr LLP

Deadline Approaches For U.S. Persons To Report Foreign Financial Accounts

U.S. persons should be aware that the annual deadline to file a Report of Foreign Bank and Financial Accounts ("FBAR") is coming up on April 15th.

United States Finance

RM

Rich May

ABF: The New Frontier For Private Credit In Europe

Asset-backed finance (ABF) has been heralded as the next frontier for private credit in Europe, in the wake of bank retrenchment and evolving regulatory capital considerations.

United States Finance

PR

Proskauer Rose LLP

Insights on the NAV Financing Market - Full Year 2025

Worldwide Finance

PR

Proskauer Rose LLP

Collateralised Fund Obligations – GLI Pink Book 2026

United States Finance

D

Dechert

Standard Variable Rates After Transfer: Mandatory Or Permissive?

United States Finance

AO

A&O Shearman

Fund Structuring Adapts To Mega-market Trends

United States Commercial

SR

McDermott Will & Schulte

Illinois Adopts Expansive Receivership Act Effective January 1, 2026

United States Real Estate

HK

Holland & Knight

OCC Proposes Clarifying National Trust Bank Powers, Could Clarify More

United States Finance

DW

Davis Wright Tremaine

New Mandatory VC California Diversity Reporting: Act Now On 2026 Deadlines

United States Commercial

LS

Lowenstein Sandler

Implications Of The CFPB's Proposed Rule Under The Equal Credit Opportunity Act (Podcast)

United States Finance

MB

Mayer Brown

Sixth Circuit Affirms Dismissal Of Securities Class Action Against Financial Services Company's Spinoff Loyalty Program

United States Commercial

AO

A&O Shearman

Securities Enforcement And Regulatory Developments From The SEC, CFTC, And PCAOB (Podcast)

United States Commercial

FH

Foley Hoag LLP

New Mandatory VC California Diversity Reporting: Act Now On 2026 Deadlines

With the first compliance deadline now less than one month away, venture capital, growth equity, and other asset managers should act immediately to assess whether they are subject to California's new diversity...

United States Commercial

LS

Lowenstein Sandler

Implications Of The CFPB's Proposed Rule Under The Equal Credit Opportunity Act (Podcast)

Summary: In this episode of Financial Services Focus, Kris Kully and EY Managing Director of Financial Services Brian Clark discuss the Consumer Financial Protection Bureau's proposed rule under...

United States Finance

MB

Mayer Brown

Sixth Circuit Affirms Dismissal Of Securities Class Action Against Financial Services Company's Spinoff Loyalty Program

On January 21, 2026, the United States Court of Appeals for the Sixth Circuit affirmed dismissal by the United States District Court for the Southern District of Ohio of a putative securities class action...

United States Commercial

AO

A&O Shearman

Securities Enforcement And Regulatory Developments From The SEC, CFTC, And PCAOB (Podcast)

2025 saw fundamental shifts in securities enforcement priorities in the first year of the second Trump Administration. The SEC and the financial regulatory landscape enters 2026 amid continued refocusing of policy...

United States Commercial

FH

Foley Hoag LLP

From Gaming To Governance: An Early Primer On Rules And Risks For Prediction Platforms

United States Finance

KG

K&L Gates LLP

DFPI Imposes Up To $1 Million Penalty On Crypto Kiosk Operator For Alleged Digital Financial Assets Law Violation

On January 16, the DFPI entered into a consent order with a digital financial asset kiosk operator, based on DFPI's allegations that the operator violated the Digital Financial Assets Law (DFAL)...

United States Technology

SM

Sheppard, Mullin, Richter & Hampton LLP

FTC Announces Civil Contempt Motion Seeking Receivership And Expanded Injunctive Relief For Alleged Order Violations

On January 13, the FTC announced that it had filed a combined motion in the U.S. District Court for the District of Nevada seeking to hold a payment processor and its executives in civil contempt for alleged violations...

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

New UK Crypto Regime: Trading Platforms, Admission To Trading And Market Abuse Regime

The countdown to the UK's new crypto regime has begun. On December 15, 2025, the UK published finalised regulations with licensing and market abuse regimes for the crypto market, effective from October 25, 2027.

United States Finance

AO

A&O Shearman

Earned Wage Access In The Crosshairs Of The Center For Responsible Lending (Podcast)

In this episode of the Consumer Finance Monitor Podcast, we examine one of the most closely watched and increasingly controversial developments in consumer finance: earned wage access (EWA) products.

United States Finance

BS

Ballard Spahr LLP

Navigating The US Policy Landscape On De-Risking And Debanking: Practical Guidance For Banks And The Broader Financial Sector

United States Finance

AM

Alvarez & Marsal

United States Commercial

KG

K&L Gates LLP

Navigating Compliance Challenges: SEC Exams, Enforcement, Marketing Rule, And AI Trends (Video)

United States Finance

LS

Lowenstein Sandler

Reminder Of Final Rule Adjusting And Indexing Part 363 Thresholds

United States Finance

JW

Jones Walker

Payment Services And Payment Systems In 2026: Trends, Risks, And Priorities

United States Finance

AO

A&O Shearman

SEC Staff Publishes New Marketing Rule FAQs

United States Commercial

MB

Mayer Brown

Why Community Bankers Care About Stablecoin Yield

United States Technology

JW

Jones Walker

SEC Investment Management Director Questions 'Vote-All' Proxy Practices And Adviser Reliance On Proxy Advisors

United States Commercial

AG

Akin Gump Strauss Hauer & Feld LLP

Prudential Regulation In 2026: Priorities In Capital, Ring-fencing, Recovery And Resolution, And Operational Resilience Requirements

Worldwide Finance

AO

A&O Shearman

Financial Markets Outlook: UK And EU Regulatory Priorities And Timelines For 2026

Worldwide Finance

AO

A&O Shearman

Sustainability And ESG In 2026: UK And EU Regulatory Priorities And Timelines

Worldwide Finance

AO

A&O Shearman

N.J. Attorney General Preserves Disparate Impact Theory Of Lending Discrimination For Borrowers

United States Finance

HK

Holland & Knight

Predicting The Future Of Prediction Markets

United States Finance

KG

K&L Gates LLP

Maximizing Your Mentoring Experiences: Real Estate Colleagues Share Insights During National Mentoring Month

United States Real Estate

CW

Cadwalader, Wickersham & Taft LLP

SEC Staff Reverses Position On Voluntary Notices Of Exempt Solicitation

United States Commercial

GP

Goodwin Procter LLP

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Highlighted Content

Subscription Credit Facilities: Concentration Limits

United States Finance

MB

Mayer Brown

Can, And Should, The U.S. Government Develop A CBDC System?

United States International

BG

Braumiller Law Group, PLLC

ImpactDAOs: Shaping The Future Of Regenerative Organizations

United States Technology

BG

Braumiller Law Group, PLLC

Evolving Legal Issues For NFTs

United States Technology

BG

Braumiller Law Group, PLLC

Executive Order On Digital Assets A Welcome Start To Responsible Regulation

United States Technology

BG

Braumiller Law Group, PLLC

Approaches To Regulation For Decentralized Finance

United States Technology

BG

Braumiller Law Group, PLLC

Developing Digital Approaches To Trade Finance

United States International

BG

Braumiller Law Group, PLLC

Latest Videos

See more

Implications Of The CFPB's Proposed Rule Under The Equal Credit Opportunity Act (Podcast)

MB

Mayer Brown

Securities Enforcement And Regulatory Developments From The SEC, CFTC, And PCAOB (Podcast)

FH

Foley Hoag LLP

Navigating Compliance Challenges: SEC Exams, Enforcement, Marketing Rule, And AI Trends (Video)

LS

Lowenstein Sandler

The Who, When And How Of The New UK Prospectus And Public Offer Rules From An Equity Perspective (Podcast)

AO

A&O Shearman

Episode 17: Dealmaking For The Future Generation – Inside Empower Youth Zones (Video)

AM

Alvarez & Marsal

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