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Global Financial Regulatory Resources

Explore our recent blog posts, reports, and insights.

We offer guidance and tools for banks, private banks, broker-dealers, insurers, investment companies, asset managers, payments companies, market infrastructure providers, and other fintech and financial services firms to navigate current and emerging regulations in all key jurisdictions around the globe.

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In The Spotlight

SEC Expands Statutory Definition of “Dealer” and “Government Securities Dealer”

February 26, 2024 Client Alert

EU Reaches Provisional Agreement on ESG Ratings Regulation

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February 5, 2024 Client Alert

SEC Launches Regulation for Security-Based Swap Execution Facilities

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February 2, 2024 Resource

Comments on the Basel III Endgame Proposal

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December 20, 2023 Blog

FCA Unveils Final Measures to Make UK Listing Regime Match Fit Again

December 5, 2023 Client Alert

FCA Publishes Final Rules on Sustainability Disclosures and Investment Labeling

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April 11, 2024 Blog

FCA Consults on Permitting Bundled Payments for Research

The FCA is proposing to allow asset managers to rebundle payments for third-party research and trade execution.

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April 4, 2024 Blog

FDIC Proposes Revisions to Policy on Bank Merger Transactions

The Proposal clarifies the FDIC’s bank merger approval process but may prove challenging for new large bank consolidations with the FDIC as the primary regulator.

March 21, 2024 Blog

HKEx and SFC Cooperate in Enforcement Action Against Former Directors of Listed Company

March 20, 2024 Our Work

Latham & Watkins Represents Reddit, Inc. in US$748 Million IPO

March 19, 2024 Blog

FCA’s 2024/25 Business Plan Signals Focus on Wholesale Markets Reform

Featured Podcast

In this episode of Connected with Latham, the final episode in a 10-part series complementing Latham’s “10 Key Focus Areas for UK-Regulated Financial Services Firms in 2024” report, London partners Rob Moulton and Nicola Higgs and associate Ella McGinn discuss how firms should prepare for the plethora of ESG-related regulation, as well as how firms can mitigate greenwashing risk.

Recent Podcasts

March 08, 2024

Episode 78 — UK FinReg Focus Areas in 2024: ESG

Latham lawyers examine the raft of ESG regulation expected in 2024, and how financial services firms can address greenwashing risk.

March 06, 2024

Episode 77 — UK FinReg Focus Areas in 2024: Enforcement Against Individuals

Latham lawyers consider the rise in the FCA’s criminal enforcement actions against individuals, and whether we can expect to see further activity and cooperation between the FCA and other enforcement agencies in 2024.

February 29, 2024

Episode 76 — UK FinReg Focus Areas in 2024: Regulatory Divergence

Latham lawyers from London and Frankfurt consider the level of regulatory divergence between the UK and the EU post-Brexit, and whether we can expect to see further divergence in 2024 and beyond.

February 23, 2024

Episode 75 — UK FinReg Focus Areas in 2024: Enforcement Against Firms

We take a look at the regulators’ enforcement priorities for 2024.

February 20, 2024

Episode 74 — UK FinReg Focus Areas in 2024: Conduct and Culture

Financial services firms should prepare for new diversity and inclusion reporting and disclosure requirements, as well as new guidance on non-financial misconduct.

February 09, 2024

Episode 73 — UK FinReg Focus Areas in 2024: Artificial Intelligence

Regulatory scrutiny of AI is expected to increase throughout 2024 and beyond, as the regulators’ approach towards AI becomes clearer.

February 02, 2024

Episode 72 — UK FinReg Focus Areas in 2024: The Edinburgh Reforms

We take stock of progress on the Edinburgh Reforms to date, and look ahead to the developments expected in 2024.

January 31, 2024

Episode 70 — UK FinReg Focus Areas in 2024: Investment Research

An anticipated new policy approach aims to give firms greater flexibility to choose how to pay and charge for research.

January 26, 2024

Episode 69 — UK FinReg Focus Areas in 2024 Retail Markets — Direction of Travel

Retail regulatory regimes in the UK are undergoing substantial reform as part of the broader regulatory reform agenda.

January 22, 2024

Episode 66 — UK FinReg Focus Areas in 2024: Primary Markets Reform

A raft of changes aiming to streamline the UK’s listing regime will attempt to increase investor appeal.

Global Insights

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UK Insights

Global Financial Regulatory Blog

Insights and commentary on financial regulatory issues and developments impacting business and innovation in the US, the UK, Europe, Asia, and other parts of the world.

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Global Fintech & Digital Assets Blog

Insights and commentary on the latest tech, regulatory, and market trends driving innovation in financial services.

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Environment, Land & Resources Blog

Insights and commentary on environmental issues and developments, including global ESG-related updates.

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Monthly London Webcast Materials

Each month the UK and European Financial Regulatory lawyers at Latham & Watkins host a presentation and discussion covering recent changes to financial services regulation.

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Featured Resource

10 Key Focus Areas for UK-Regulated Financial Services Firms in 2024

The use of AI in financial services and the ESG regulatory agenda will be among the areas of focus in 2024, while progress on the Edinburgh Reforms and UK-EU regulatory divergence will remain important topics.

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February 12, 2024 Recognition

Fintech Group of the Year: Latham & Watkins

Latham & Watkins LLP made waves in the fintech world last year by successfully defending venture capital firm Andreessen Horowitz in a case of first impression involving so-called scam tokens as well as through its representation of Binance's CEO in ongoing enforcement actions.

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December 14, 2023 Recognition

Latham Named Finalist for Three 2024 Legalweek Tech Law Awards

Data Technology & Transactions Practice Vice Chair Ghaith Mahmood shortlisted for Innovator of the Year, and two firm initiatives earn recognition in ALM’s annual tech-focused awards program.

December 6, 2023 Recognition

Latham Named Most Innovative Law Firm in North America

Financial Times recognizes the firm’s strengths across metrics that assess legal industry leadership and strategic growth.

"The cross-border team is impressive and incredibly well coordinated. It is truly a global team that is relied upon around the clock."
Chambers USA 2023

"The depth and breadth of the team at Latham & Watkins has been impressive. They have a well-rounded team with broad expertise across a range of legal and regulatory issues."
Chambers UK 2024

"Fully equipped to advise on current and emerging requirements implemented by the SEC, CFTC, FINRA and NYSE, among others."
Chambers USA 2023

"An expanding team includes a number of alumni of the major regulatory bodies, enabling it to provide clients with crucial strategic insight."
Chambers USA 2023