FiSolve‘s November 7th weekly financial and regulatory news updates:
- FINRA Fines Firm $10 Million for Violations Relating to Gifts and Entertainment
- Cyber Threat Intelligence Firm Warns of Impersonation and Spoofing Vulnerabilities with Microsoft Teams
- FCA Publishes Review of Consolidation in Financial Advice and Wealth Management Sector
- ESMA Finds Distribution Costs Account for Almost ½ the Total Costs Paid to Invest in UCITS
- SEC Issues Exemptive Order Regarding Compliance with Regulation NMS Rule Updates
Read the full update here.
