FCA Consumer Understanding Good Practice Review

The FCA has published findings from its review into how financial firms approach consumer understanding, an outcome under the Consumer Duty. The guidance highlights good practices and areas for improvement across several key areas, including management information, innovation, vulnerability, financial promotions, and governance.

Court Document Filing

This document represents a new legal case filing within the US court system. It pertains to a specific legal proceeding and is part of the ongoing judicial administration process. Further details would require analysis of the specific case content.

FISHES Act Approved

The FISHES Act (Public Law 118-229) was approved on January 4, 2025. This act adds to the existing framework for managing and conserving fish populations within US waters.

National Defense Authorization Act for Fiscal Year 2021

The National Defense Authorization Act for Fiscal Year 2021 (NDAA FY21) has been enacted, establishing defense policies and funding for the upcoming fiscal year. It includes provisions related to cybersecurity, supply chain security, and technological innovation within the defense sector.

Disapproval of Bureau of Ocean Energy Management Rule

Congress has passed a joint resolution to disapprove a rule issued by the Bureau of Ocean Energy Management (BOEM). This action effectively removes the BOEM rule, impacting energy companies operating in federal waters. The specific rule being disapproved is identified by its Public Law number.

Congress Disapproves IRS Digital Asset Reporting Rule

Congress has disapproved a rule from the Internal Revenue Service (IRS) that would have required brokers to report digital asset sales to the IRS. This action effectively removes the proposed reporting requirements for digital asset transactions.

Veterans Healthcare and Benefits Improvement Act

Public Law 118-210, the Veterans Healthcare and Benefits Improvement Act, has been enacted to enhance healthcare and benefits for veterans. This legislation introduces new provisions and potentially expands existing programs administered by the Department of Veterans Affairs.

Federal Register Vol. 90, No. 218

The US Federal Register published Volume 90, Number 218 on November 14, 2025. This issue contains various notices and updates from different federal agencies. It serves as an official compilation of government rules, proposed rules, and notices.

Federal Register Vol 90, No 219

This document is the daily publication of the Federal Register, Volume 90, Number 219, dated November 17, 2025. It contains various official notices and regulatory information from US federal agencies.

Federal Register Vol. 90, No. 221

This document is the daily compilation of regulatory notices from various US Federal Agencies published in the Federal Register on November 19, 2025. It serves as an official record of government actions and proposed rules.

Federal Register Vol. 90, No. 220

This document is the daily compilation of the Federal Register for November 18, 2025, Volume 90, Issue 220. It contains various official notices, proposed rules, and final rules from U.S. federal agencies. Compliance officers should review relevant sections for potential impacts on their organizations.

Federal Register Volume 90, Issue 222

The Federal Register published Volume 90, Issue 222 on November 20, 2025. This issue contains various government notices and regulatory updates. It serves as an official source for federal agency announcements and rulemakings.

CRA Small and Intermediate Bank Asset Thresholds Updated for 2026

The Federal Reserve Board and FDIC announced updated asset-size thresholds for Community Reinvestment Act (CRA) small and intermediate banks for 2026. These annual adjustments are based on inflation, ensuring the thresholds reflect current economic conditions.

Agencies Release 2025 Shared National Credit Program Report

The Federal Reserve Board, FDIC, and OCC have released the 2025 Shared National Credit (SNC) report. The report indicates that credit risk associated with large, syndicated bank loans remains moderate, with 8.6% of total commitments rated as non-pass.

Federal Reserve Finalizes Stress Test Scenarios, Maintains Capital Requirements

The Federal Reserve Board has finalized its annual stress test scenarios for large banks and voted to maintain current stress test-related capital requirements until 2027. The final scenarios are similar to those proposed in October, and the delay in new capital requirements will allow for public feedback on supervisory models.

Federal Reserve Requests Comment on Proposal to Codify Removal of Reputation Risk

The Federal Reserve Board is requesting public comment on a proposal to codify the removal of reputation risk from its bank supervision framework. This action follows earlier decisions to exclude reputation risk and aims to ensure supervisory decisions focus on material financial risks.

FINMA Invites Thierry Lasseron to Right to be Heard

FINMA has invited Thierry Lasseron to exercise his right to be heard regarding enforcement proceedings. Lasseron is required to provide a Swiss domicile for notification within 15 days of publication, or further communications will be made available at FINMA's offices.

Prudential Authority Guidance Note Status Update

The South African Prudential Authority has issued Guidance Note 1 of 2026, updating the status of previously issued guidance notes for deposit-taking institutions. This annual note clarifies which guidance remains in effect for the upcoming year, ensuring awareness among banks, controlling companies, and their auditors.

Prudential Authority Circular C1-2026: Status of Bank Circulars

The Prudential Authority (PA) has issued Circular C1-2026 to confirm the status of previously issued bank circulars. This annual confirmation aims to ensure clarity for regulated entities regarding which circulars remain effective.

Proposed Directive on Internal Liquidity Adequacy Assessment Process

The South African Prudential Authority has issued a proposed directive for consultation regarding the Internal Liquidity Adequacy Assessment Process (ILAAP). This directive is based on Basel Committee on Banking Supervision principles for sound liquidity risk management.

Proposed Directive on Bank Reporting Requirements (Regulation 46)

The South African Prudential Authority has issued a proposed directive for consultation regarding reporting requirements under Regulation 46 of the Regulations relating to Banks. This directive aims to specify the Banks Act (BA) returns that require auditing or review under a limited assurance framework.

MAS Enforcement Actions Against Market Abuse and Financial Misconduct

The Monetary Authority of Singapore (MAS) has announced significant enforcement actions, including $11.7 million in civil penalties and nine criminal convictions for market abuse and financial misconduct. The MAS Enforcement Report covers January 2019 to June 2020, detailing efforts to combat financial crime and enhance regulatory oversight.

MAS Enforcement Report: Anti-ML and Market Abuse Penalties

The Monetary Authority of Singapore (MAS) released its 4th Enforcement Report detailing actions taken from January 2022 to June 2023. The report highlights $7.10 million in penalties for anti-ML breaches and $12.96 million for market abuse, alongside other enforcement outcomes.

MAS Enforcement Actions Against 14 Entities

The Monetary Authority of Singapore (MAS) has taken enforcement actions against 14 entities and individuals for breaches of laws and regulations. These actions include investigations, prohibition orders, civil penalties, and revocation of licenses, impacting financial institutions and their senior management.

Goldman Sachs Singapore Penalized for 1MDB Bond Offerings

Singaporean authorities (AGC, CAD, MAS) have taken action against Goldman Sachs (Singapore) Pte. (GSSP) for its role in the 1MDB bond offerings. GSSP will pay US$122 million to the Singapore Government and US$61 million to Malaysian authorities, totaling US$183 million.

MAS Bans Kevin Michael Swampillai for Life

The Monetary Authority of Singapore (MAS) has issued lifetime Prohibition Orders against former BSI Bank representative Kevin Michael Swampillai. The ban follows his misconduct involving approximately US$5 million in secret profits and misrepresentations to auditors related to 1MDB investments.

MAS Consultation on Updated Operational Risk Management Guidelines

The Monetary Authority of Singapore (MAS) has issued a consultation paper proposing updates to its guidelines on operational risk management for financial institutions. The consultation period closes on April 20, 2026.

MAS Proposed Guidelines on Third-Party Risk Management

The Monetary Authority of Singapore (MAS) has released proposed guidelines on Third-Party Risk Management for financial institutions. The consultation paper outlines supervisory expectations for the use of third-party services and is open for feedback until April 20, 2026.

MAS Guidelines on Environmental Risk Management for Banks

The Monetary Authority of Singapore (MAS) has issued revised guidelines on environmental risk management for banks, merchant banks, and finance companies. The update includes an addendum on transition planning to address climate change-related risks.

MAS Environmental Risk Management Guidelines for Asset Managers Revised

The Monetary Authority of Singapore (MAS) has revised its Guidelines on Environmental Risk Management for Asset Managers, with an addendum on transition planning. These revisions aim to enhance fund management companies' and REIT managers' management of environmental risks and climate change-related transition and physical risks.

MAS Guidelines on Environmental Risk Management for Insurers

The Monetary Authority of Singapore (MAS) has issued revised guidelines on environmental risk management for all insurers, with an addendum on transition planning effective March 5, 2026. These guidelines detail MAS' expectations for managing climate-related transition and physical risks.

ADGM Registration Authority Launches Integrated Real Estate Digital Services

The Abu Dhabi Global Market (ADGM) Registration Authority has launched AccessRP, a new integrated digital platform for real estate services. This platform aims to streamline interactions between landlords, developers, and tenants, enhancing accessibility and service standards within the ADGM jurisdiction.

ADGM Consultation on Crypto Mining Activities

The ADGM Registration Authority has published a discussion paper proposing guidance for crypto mining activities. Stakeholders are invited to provide feedback by March 20, 2026. The proposals aim to offer regulatory clarity and support responsible innovation within ADGM.

ADGM FSRA Alert on MKT Investing Misleading Claims

The ADGM FSRA has issued an alert regarding Mount Nico Corp Ltd, trading as MKT Investing, for making misleading claims. The firm is not licensed by the FSRA, and the alert warns the financial services community and the public about engaging with this entity.

ADGM Broker Classification Framework for Real Estate

The Abu Dhabi Global Market's Registration Authority has launched a new Broker Classification Initiative to enhance professionalism and transparency in the real estate sector. This framework aims to elevate service quality and establish a new model for engaging with real estate brokers.

ADGM RA Warns of Nubia Gold SPV Misrepresentations

The ADGM Registration Authority has issued a warning regarding misrepresentations made by "Nubia Gold SPV," an entity not registered or licensed with ADGM. The alert aims to protect the public and investors from potential fraudulent activities associated with this non-ADGM entity.

MAS Guidelines on Transition Planning for Insurers

The Monetary Authority of Singapore (MAS) has published guidelines on transition planning for insurers, adding to its existing environmental risk management framework. These guidelines detail supervisory expectations for managing climate-related transition and physical risks.

DFSA Reminder on Working Arrangements

The Dubai Financial Services Authority (DFSA) issued a reminder regarding its current working arrangements, with employees working remotely from March 2-4, 2026. Authorised Firms are reminded to report any operational changes via the DFSA ePortal.

Nasdaq Dubai Temporary Closure Notice

The Dubai Financial Services Authority (DFSA) announced the temporary closure of Nasdaq Dubai on Monday, March 2, 2026, and Tuesday, March 3, 2026. This notice informs market participants of the exchange's operational status during these dates.

DFSA AML and Glossary Modules Amendments and FAQs Published

The Dubai Financial Services Authority (DFSA) has amended its Anti-Money Laundering, Counter-Terrorist Financing and Sanctions (AML) and Glossary Modules, effective March 2, 2026. These changes align with new UAE federal AML legislation and are accompanied by published FAQs to provide clarity for relevant persons operating within the DIFC.

DFSA Investor Caution Reminder During Global Tensions

The Dubai Financial Services Authority (DFSA) has issued a reminder to investors to exercise caution and prudence during periods of heightened global tensions. The notice highlights increased risks of short-term volatility, fake news, and phishing attempts, urging investors to verify information sources.

Nasdaq Dubai Trading Reopening Announcement

The Dubai Financial Services Authority (DFSA) has announced that Nasdaq Dubai will reopen for trading on Wednesday, March 4, 2026, at 10:00 AM GST. This notice informs market participants of the resumption of normal trading operations.

Insurance Authority Consultation Documents and Draft Rules

The Insurance Authority of Hong Kong has released multiple consultation papers and conclusions on draft rules concerning the insurance industry. These documents cover topics such as risk-based capital regimes, public disclosure, special purpose business, group-wide supervision, and new regulatory regimes for intermediaries. The consultations aim to gather feedback on proposed regulatory changes.

Hong Kong Insurance Authority Publishes Numerous Guidelines

The Hong Kong Insurance Authority has published a comprehensive list of updated and new guidelines covering various aspects of insurance business. These include updated guidelines on authorization, anti-money laundering, cybersecurity, corporate governance, and underwriting, with some effective dates ranging from mid-2024 to early 2026.

Insurance Authority Circulars and Guidelines Introduction

The Insurance Authority has published an introduction to its circulars and guidelines. These documents are intended to remind industry participants of regulatory requirements and assist in understanding regulatory issues.

SFC Regulatory Roadmap for Hong Kong Virtual Asset Market

The Securities and Futures Commission (SFC) of Hong Kong has released a regulatory roadmap titled 'A-S-P-I-Re' outlining its strategy for the virtual asset market. The roadmap details five pillars aimed at streamlining market entry, optimizing compliance, expanding product offerings, modernizing infrastructure, and empowering investors.

SFC and HKEX Launch Technology Enterprises Channel

The Securities and Futures Commission (SFC) and Hong Kong Exchanges and Clearing Limited (HKEX) have launched a new Technology Enterprises Channel (TECH) to facilitate listing applications from specialist technology and biotech companies. This initiative includes a new confidential filing option and updated guidance on listing requirements.

SFC and HKMA Joint Statement on Stablecoin Market Movements

The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) issued a joint statement on August 14, 2025, addressing recent market movements related to stablecoins. The statement urges caution among investors and reminds market participants to communicate responsibly.

Hong Kong Fixed Income and Currency Market Development Roadmap

The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) have released a roadmap for developing Hong Kong's fixed income and currency markets. The roadmap outlines initiatives across four pillars: boosting primary market issuance, enhancing secondary market liquidity, expanding offshore RMB business, and developing next-generation infrastructure.

Framework for Virtual Asset Perpetual Contracts by VATP

The Securities and Futures Commission (SFC) has issued a high-level framework for licensed virtual asset trading platform operators offering perpetual contracts. This guidance outlines key risks and safeguards for product design, market manipulation, and client disclosures to enhance investor protection and market liquidity.