FiSolve‘s March 6th weekly financial and regulatory news updates:

• SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act
• FINRA Censures and Sanctions Firm $1.3 Million for Best Execution and Supervisory Failures
• CFTC Enforcement Division Issues Prediction Markets Advisory
• Federal Indictment Charges Investment Advisor with Defrauding Financial Services Companies of $3.3. Million

Read the full update here.

FiSolve‘s February 27th weekly financial and regulatory news updates:

• SEC’s Division of Enforcement Announces Updates to Enforcement Manual
• SDNY Announces Corporate Enforcement and Voluntary Self-Disclosure and Cooperation Program for Financial Crimes
• California DFPI Establishes Venture Capital Diversity Reporting and Registration Requirements 
• SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
• FINRA Fines and Censures Firm for Inadequate WSPs around UTMA Accounts
• FCA Fines Social Media Influencers for Issuing Unauthorized Financial Promotions

Read the full update here.

FiSolve‘s February 20th weekly financial and regulatory news updates:

• SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
• FDIC Releases Economic Scenarios for 2026 Stress Testing
• FCA Ban and Fines against a Reckless Adviser and Fund Manager Upheld by Tribunal
• ESMA Seeks Input to Streamline and Simplify its Market Abuse Guidelines
• ESMA Supports Simplification of European Sustainability Reporting Standards

Read the full update here.

FiSolve‘s February 13th weekly financial and regulatory news updates:

• SEC Chairman Testifies Before the U.S. House Financial Services Committee
• SEC Enforcement Director Outlines Division’s Priorities
• FINRA Suspends Representative for 9 Months, Citing Expense Policy Violations
• CFTC Staff Reissues Letter 25-40 Updating Payment Stablecoin Definition
• FCA Brings Criminal Action to Stop Global Crypto Firm for Illegally Promoting Crypto Asset Services to UK Consumers

Read the full update here.