This week’s financial industry news highlights regulatory enforcement actions, evolving market risks, operational challenges, and emerging governance expectations:
- ETF compliance and disclosure failures draw SEC scrutiny
- ETF growth fuels concerns over speculation and investor risk
- States target digital payments fraud and consumer protection gaps
- CFTC proposes new affiliate governance standards
- SEC cites broker-dealer net capital violations
- FINRA penalizes deficient AML monitoring programs
- FCA emphasizes resilience across interconnected financial networks
Read the full update from FiSolve here.
