This week’s developments reflected a regulatory landscape shaped by rapid innovation, familiar compliance priorities, and continued policy change:

• Robinhood’s rollout of AI tools that can trade and spend on a user’s behalf put autonomous finance in the spotlight
• FINRA’s AML sanctions and the FDIC’s proposed stablecoin compliance standards reinforced the ongoing focus on anti-money laundering controls and supervision
• Regulators also kept pushing on market conduct and investor protection, with the SEC’s Investor Advisory Committee teeing up discussions on private markets and passive funds, the FCA identifying weaknesses in financial promotion approvals, and ESMA advancing work tied to Europe’s move to T+1 settlement

Taken together, the week underscored how quickly technology, compliance expectations, and market structure continue to evolve across financial services. Read the full update from FiSolve here.

This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change.

• The SEC filed sweeping insider trading charges tied to alleged misuse of confidential deal information
• The CFTC imposed penalties in a spoofing case involving Treasury futures
• FINRA also reportedly opened an investigation into whether junior banking staff in Budapest worked on regulated matters without proper licensing or supervision
• SEC Chairman Paul Atkins signaled continued interest in reviving the IPO market
• ESMA urged firms to keep advancing MiFID II sustainability compliance as the broader framework evolves

Taken together, the week’s developments reflect a regulatory environment that remains active on both enforcement and reform. Read the full update from FiSolve here.

This week brought a busy mix of enforcement, policy, and market-structure developments across the financial services landscape:

• The CFTC sued Wisconsin as part of its broader effort to defend federal authority over prediction markets and separately brought an insider trading case tied to Nicolás Maduro-related event contracts
• SEC Chairman Paul Atkins outlined the agency’s “ACT” strategy to advance, clarify, and transform the SEC’s regulatory framework
• FINRA sanctioned a broker-dealer for Regulation Best Interest failures and late private placement filings
• The OCC moved to clarify national bank fee authority and assert federal preemption over Illinois’ interchange fee law
• ESMA launched a call for evidence on the structure of European equity markets
• PwC’s latest financial wellness survey highlighted employee financial stress as an increasingly visible business and workforce risk

Read the full update from FiSolve here.