All posts by Clifford E. Kirsch, Editor

Eversheds Sutherland With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.

Compliance, Enforcement, International, Regulatory, Standard of Care

Updates on SEC, FINRA, FCA and more from FiSolve

August 7, 2026 Clifford E. Kirsch, Editor Leave a comment

This week’s financial industry news highlights continued regulatory activity across enforcement, compliance, technology risk, and market reform:

Read the full update from FiSolve here.

Compliance, Enforcement, International, Regulatory, Standard of Care

Updates on SEC, CFTC , FINRA and more from FiSolve

July 31, 2026 Clifford E. Kirsch, Editor Leave a comment

This week’s financial industry news highlights regulatory enforcement actions, evolving market risks, operational challenges, and emerging governance expectations:

Read the full update from FiSolve here.

Compliance, International, Regulatory

Updates on SEC, FINRA, CFTC and more from FiSolve

July 29, 2026 Clifford E. Kirsch, Editor Leave a comment

From regulatory modernization and market structure developments to AI transformation and digital asset oversight, this week’s headlines reflect the continued evolution of the financial services industry.

SEC E-Delivery Proposal – New rule would expand electronic delivery of investor disclosures
FINRA Exam Modernization – FINRA plans more transparent, efficient, and risk-based examinations
AI Workforce Transformation – Leading firms are pairing AI investments with governance and talent strategy
GENIUS Act Implementation – FDIC begins rolling out reporting requirements for stablecoin issuers
CFTC Reporting Relief – Large trader reporting requirements for certain commodity swaps are being eliminated
ESMA T+1 Readiness – European firms are urged to accelerate preparations for T+1 settlement