Monthly Regulatory Newsletter - March 2026

By: Wayne Merris, RQC Group

Published: 2026-03-09 · Read time: 3 min · Category: Regulatory

Our March 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last month in the UK and the US.

RQC Group's March 2026 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place during the last month in the UK and the US.

This month's edition covers the following:

- Regulatory Priorities reports: A smarter approach to communicating the FCA's regulatory priorities - Consumer Duty board reports: good practice and areas for improvement, updated insights for smaller firms - Appointed Representatives regime: HM Treasury consults - Rules for reforming the UK securitisation framework - Sustainability Disclosure Requirements labels: good and poor practice - Number of STORs and of market observations received: 2025 - FCA fines two individuals a combined £108,731 for insider dealing - Upper Tribunal finds that Banque Havilland devised a plan to harm the Qatari economy - Joint Money Laundering Steering Group published final revisions to its AML and CTF guidance

- SEC issues first major update to Enforcement Manual since 2017, signalling stronger focus on fairness, transparency and efficiency - SEC issues joint statement on tokenised securities - SEC charges Illinois investment adviser with breaching its fiduciary duty and contravening its disclosures - Regulation S-P