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FRC Introduces Evolved Audit Supervision Model

The Financial Reporting Council (FRC) in the UK has introduced an evolved audit supervision model, effective April 2026 for the largest firms. This new framework emphasizes firms' Systems of Quality Management (SoQM) and adopts a more proportionate, risk-based assessment to enhance audit quality and market resilience.

Federal Reserve Notice on Savings and Loan Holding Companies

The Federal Reserve Board has published a notice listing companies that have applied to become savings and loan holding companies or to acquire savings associations. The notice provides a deadline for public comments on these applications, which are subject to approval under the Home Owners' Loan Act.

Bank Holding Company Formations and Acquisitions Notice

The Federal Reserve Board has published a notice of applications from companies seeking to become bank holding companies or acquire banks. Interested parties have until April 24, 2026, to submit public comments on these applications.

GFSC Chairman Re-appointment

The Gibraltar Financial Services Commission (GFSC) announced the re-appointment of Stephen Haddrill as Chairman of its Board until July 2029. His reappointment follows his initial appointment in August 2020 and is intended to continue his leadership in transforming operational efficiency and strengthening partnerships.

TCSPs Cybersecurity, Data Protection, and Resilience Thematic Review

The Gibraltar Financial Services Commission (GFSC) has published the findings of a thematic review on cybersecurity, data protection, and resilience within the Trust and Corporate Service Providers (TCSPs) sector. The publication outlines areas of strength and weakness, sets minimum standards, and provides clear expectations for TCSPs to enhance their frameworks.

Balls Limited - Registration Withdrawal

The Gibraltar Financial Services Commission (GFSC) has withdrawn the registration of Balls Limited, an Initial Coin Offering (ICO) and Virtual Asset Service Provider (VASP), for failing to comply with anti-money laundering regulations. The firm is no longer supervised or registered by the GFSC.

GFSC Thematic Review on Targeted Financial Sanctions

The Gibraltar FSC has announced a thematic review of regulated entities' compliance with Targeted Financial Sanctions (TFS) requirements. The review will involve a questionnaire for all regulated entities by March 27, 2026, followed by onsite assessments for selected firms between June and December 2026.

Gibraltar FSC Consumer Alert: Phishing Attempt

The Gibraltar Financial Services Commission (GFSC) has issued a consumer alert regarding a phishing attempt using a fraudulent domain name that impersonates GFSC employees. Consumers are warned not to engage with emails from the domain 'fsc.gi.cliopost.com' and to delete them immediately.

Cross-border investment fund distribution guidelines

The European Securities and Markets Authority (ESMA) has published guidelines on the cross-border distribution of investment funds. These guidelines aim to harmonize practices and facilitate the distribution of funds across the European Union.

Tennessee Maximum Interest Rate Announcement

The Tennessee Department of Financial Institutions announced that the maximum effective formula rate of interest in Tennessee is 10.75 percent per annum, effective March 24, 2026. This rate is set by state law and is based on the weekly average prime loan rate plus a ceiling of 4 percent.

ECB Banking Supervision: Anneli Tuominen Interview on Bank Resilience

In an interview on March 25, 2026, ECB Supervisory Board Member Anneli Tuominen discussed the strengthening of Europe's banking sector, noting improved capital ratios and reduced non-performing loans. She highlighted macro-financial uncertainty and operational resilience, particularly cyber risks, as key weaknesses and outlined supervisory preparations for economic downturns and commercial real estate vulnerabilities.

Federal Reserve: Bank Holding Company Formations, Acquisitions, and Mergers

The Federal Reserve System has published a notice regarding the formations of, acquisitions by, and mergers of bank holding companies. This notice serves as an informational update on regulatory filings and processes within the banking sector.

Federal Reserve: Savings and Loan Holding Company Formations, Acquisitions, and Mergers

The Federal Reserve System has published a notice regarding the formations of, acquisitions by, and mergers of savings and loan holding companies. This notice serves as an informational update on regulatory activities within the banking sector.

Federal Reserve: Change in Bank Control Notices and Share Acquisitions

The Federal Reserve System has published a notice regarding changes in bank control and acquisitions of shares of a bank or bank holding company. This notice serves as an informational update for relevant parties in the banking sector.

SEC Agency Information Collection Activities Proposed Collection Comment Request Extension Rule 102

The Securities and Exchange Commission (SEC) has published a notice requesting comments on the proposed extension of an existing information collection requirement under Rule 102. This collection, identified by OMB Control No. 3235-0467, is subject to review under the Paperwork Reduction Act.

SEC Notice of Application for Savvly Fund #3 and Savvly Advisor LLC

The Securities and Exchange Commission (SEC) has issued a notice regarding an application filed by Savvly Fund #3 and Savvly Advisor LLC. The notice provides details of the application and its filing dates.

SEC Notice: ETF Series Trust, et al.

The SEC published a notice regarding the ETF Series Trust, et al. The notice includes details about the application filing dates and references Investment Company Act Release No. 36028. This document is an unofficial prototype of the Federal Register.

SEC Approves Amended Plan for Regulatory Responsibilities

The SEC has approved an amended plan for the allocation of regulatory responsibilities under Rule 17d-2. This notice details the order approving and declaring effective the amended plan between the Financial Industry Regulatory Authority, Inc., MEMX LLC, and MX2 LLC.

SEC: Fixed Income Clearing Corp Bond Haircut Model Enhancements

The SEC has published a notice regarding a proposed rule change by the Fixed Income Clearing Corporation (FICC) concerning the implementation timeframe for enhancements to its correlation calculation for bond haircut models. This notice details the immediate effectiveness of the filing, indicating a move towards updated risk management practices within the fixed income clearing space.

SEC Extends Nasdaq Bitcoin Options Rule Change Action Period

The Securities and Exchange Commission (SEC) has extended the period for reviewing a proposed rule change by Nasdaq PHLX LLC regarding Bitcoin index options. This notice designates a longer period for the Commission to issue an order approving or disapproving the proposed rule change.

Nasdaq GEMX - Proposed Rule Change to Amend Minimum Increments

The SEC has published a notice regarding a proposed rule change by Nasdaq GEMX, LLC, to amend its minimum price variations (MPVs) for equity securities. This filing is effective immediately upon filing.

Pacer Funds Trust and Pacer Advisors, Inc. - Investment Company Act Notice

The SEC has issued a notice regarding a filing by Pacer Funds Trust and Pacer Advisors, Inc. under the Investment Company Act of 1940. The notice provides details on the application and filing dates, but does not impose new obligations.

ACAP Strategic Fund, et al. - SEC Notice

The Securities and Exchange Commission (SEC) has issued a notice regarding the ACAP Strategic Fund, et al. The notice pertains to an application filed on August 4, 2025, and amended on March 9, 2026, under the Investment Company Act.

MEMX LLC seeks temporary exemptive relief from SEC Regulation NMS rules

The SEC has published a notice regarding an application from MEMX LLC seeking temporary exemptive relief from certain provisions of Rule 610(c) of Regulation NMS. This notice also includes a request for public comment on the application.

Cboe Exchange Rule Change Proceedings Suspension Order

The SEC has issued a notice regarding Cboe Exchange, Inc., instituting proceedings to determine whether to approve or disapprove a proposed rule change to adopt Rule 8.23. This action suspends the proposed rule change pending the outcome of the proceedings.

NYSE American LLC Listing Standards Rule Change Review Extended

The SEC has extended the review period for a proposed rule change by NYSE American LLC regarding initial listing standards. This notice designates a longer period for the Commission to take action on the proposed rule change, indicating ongoing review.

Bank of Ghana MPC Reduces Monetary Policy Rate

The Bank of Ghana's Monetary Policy Committee (MPC) announced a reduction of the Monetary Policy Rate by 150 basis points, setting it at 14.0 percent. This decision was made at the MPC's 129th meeting held from March 16-18, 2026.

FMA Review Identifies Opportunities to Improve Financial Advice Access

The Financial Markets Authority (FMA) of New Zealand has published findings from its review into access to financial advice. The review identified opportunities to improve accessibility, particularly for under-represented groups, and highlighted structural and operational barriers within the sector. The FMA plans to engage with providers to implement practical solutions.

IPO Scam Explained by FMA NZ

The Financial Markets Authority (FMA) of New Zealand has published guidance explaining Initial Public Offering (IPO) scams. The article details how these scams operate, provides warning signs for investors, and outlines actions to take if targeted or scammed.

Report on Access to Financial Advice in New Zealand

The Financial Markets Authority (FMA) of New Zealand has published a report detailing findings on access to financial advice. The report, released on March 25, 2026, includes two volumes: one on challenges and opportunities for the financial advice sector, and another on consumer research findings.

Mariana Kühnel Represents Austria in EIOPA's Highest Committee

Mariana Kühnel, Executive Director of the Austrian Financial Market Authority (FMA), has been appointed as Austria's representative to the Board of Supervisors of the European Insurance and Occupational Pensions Authority (EIOPA). This appointment signifies Austria's continued active participation in European financial supervision, with a focus on efficiency and data utilization.

DNB Outlook: Strengthening Netherlands and Europe Amidst Uncertainty

De Nederlandsche Bank (DNB) has published an outlook alongside its 2025 Annual Report, emphasizing the need to strengthen the Dutch economy and the European Union in response to global uncertainties, including the war in the Middle East. The report outlines scenarios for higher inflation and slower growth, stressing the importance of EU resilience and autonomy.

Cboe Exchange Rule Change Proposal for Fees Schedule

Cboe Exchange has proposed a rule change to amend its Fees Schedule, specifically modifying the fees for Floor Booth rentals. The proposal aims to simplify the existing tiered pricing structure by adopting a flat monthly fee of $250 per booth on the perimeter of the trading floor. The SEC is soliciting comments from interested parties on this proposed change.

SEC Notice of Application for Exemption for Advisors Series Trust

The SEC has issued a notice regarding an application for exemption from certain provisions of the Investment Company Act of 1940 and related disclosure rules. The exemption would allow Advisors Series Trust and Scharf Investments, LLC to enter into and amend subadvisory agreements without shareholder approval and grant relief from specific disclosure requirements related to subadviser fees.

SEC Notice of Application for Joint Transactions by BDCs

The SEC has issued a notice regarding an application filed by FP Strategies LLC, RoboStrategy, Inc., and Satya Robo Holdings LLC. The application seeks an order to permit certain business development companies (BDCs) and closed-end investment companies to co-invest in portfolio companies with each other and affiliated entities.

Cboe Exchange Proposes Rule Change to Amend Fee Schedule

Cboe Exchange has filed a proposed rule change with the SEC to amend its fee schedule regarding Regulatory Fees. The proposed change will update the FINRA Annual System Processing Fee and Continuing Education Fee to mirror updated FINRA fees, introducing a tiered structure based on the number of securities regulators registered. This proposal is part of FINRA's phased implementation of fee adjustments between 2025 and 2029.

Cboe Exchange Proposed Rule Change Approved by SEC

The SEC has approved a proposed rule change by Cboe Exchange, Inc. that allows Market-Makers' orders to be solicited as the contra-side for agency orders in certain exchange auctions. This change amends existing rules to permit such solicitations across all classes, including SPX options.

SEC Approves Cboe EDGX Rule Changes for Retail Price Improvement Program

The SEC has approved rule changes for Cboe EDGX Exchange, Inc. to adopt a Retail Price Improvement Program. This program allows certain retail orders to be identified and prioritized, with specific execution and routing parameters, and includes modifications to rules governing non-displayed orders. The approval also grants limited exemptive relief from the Sub-Penny Rule.

MIAX PEARL LLC Proposed Rule Change for Sub-Dollar Securities

The SEC approved a proposed rule change by MIAX PEARL LLC to extend Post Only order functionality to sub-dollar securities. This change allows the exchange to apply the same liquidity-posting logic to securities priced below $1.00 as it currently does for securities priced at or above $1.00.

NCUA Proposed Rule on Third-Party Servicing of Indirect Vehicle Loans

The National Credit Union Administration (NCUA) has issued a proposed rule concerning the third-party servicing of indirect vehicle loans. This proposal aims to establish guidelines and requirements for credit unions when engaging third parties for these services.

CFTC Notice on Swaps Records Information Collection Renewal

The Commodity Futures Trading Commission (CFTC) is seeking public comment on the proposed renewal of an information collection related to swaps recordkeeping obligations. This notice specifically addresses the recordkeeping requirements under CFTC regulations 1.3, 1.31, 1.33, 1.35, 1.37, and 1.39, as mandated by the Dodd-Frank Act.

CFTC - Extend Collection for Swap Dealer Registration

The Commodity Futures Trading Commission (CFTC) has issued a notice of intent to extend the Office of Management and Budget (OMB) approval for information collection requirements related to the registration of swap dealers and major swap participants. This notice is part of the standard PRA process for continuing existing data collection activities.

MSRB Report on Institutional Customer Trading on ATSs

The Municipal Securities Rulemaking Board (MSRB) has released a report analyzing 38 million municipal securities trades from 2021-2025. The report details the increasing use of Alternative Trading Systems (ATSs) by institutional customers for direct trading, noting a near quadrupling of such trades since 2021.

Mark Uyeda Discusses US Treasury Clearing and ISDA Regulatory Responses

ISDA published an interview with SEC Commissioner Mark Uyeda discussing the upcoming mandatory clearing of US Treasury securities. The interview addresses the benefits of clearing and the implementation path for rules finalized by the SEC in 2023, with clearing set to begin at the end of 2026.

Investment Advisers: Annual Updating Amendment Filing Reminder

The Colorado Division of Securities is reminding state-licensed investment advisers that their Annual Updating Amendment (AUA) filing is due March 31, 2026. This notice also highlights a new NASAA IAR CE course catalog and details recent enforcement actions against Mullins Investment Management and Marshall Financial Advisory.

ECB Presentation on Euro Area Economy Scenarios

The European Central Bank (ECB) released a presentation outlining baseline and alternative scenarios for the euro area economy, focusing on the impact of uncertainty, fiscal policies, and energy supply disruptions. The presentation includes projections for GDP growth and inflation under various scenarios, with a cut-off date of March 11, 2026.

ECB Speech: Navigating Energy Shocks and Policy Responses

ECB President Christine Lagarde delivered a speech on navigating energy shocks and policy responses. The speech outlined the ECB's monetary policy strategy for assessing and responding to economic shocks, emphasizing a data-driven approach based on the nature, size, and persistence of shocks.

Cannabist Company Holdings Inc. - Material Definitive Agreement

The Cannabist Company Holdings Inc. has entered into an asset purchase agreement for the sale of its Delaware subsidiary's assets. The transaction is valued at $16.5 million, with a portion held in escrow for indemnification obligations. This filing reports the entry into this material definitive agreement.

FCA Motor Finance Redress Approach Announcement Timing

The UK's Financial Conduct Authority (FCA) announced it will release its approach to motor finance redress shortly after markets close on Monday, March 30, 2026. This follows a consultation on a compensation scheme conducted in October 2025.

Azerbaijan Strengthens AML and CFT Measures

The FATF has published a report on Azerbaijan's measures against money laundering and terrorist financing. The report, part of the FATF's Follow-Up Review process, assesses the country's progress in implementing international standards. It highlights areas where Azerbaijan has strengthened its framework to combat financial crime.