FiSolve‘s December 5th weekly financial and regulatory news updates:

• SEC Issues Order Granting Temporary Exemptive Relief on Compliance with Rule 13f-2 and Form SHO Reporting until January 2028
• FINRA Orders Firm to Pay $2 Million in Restitution to Customers, Fines Firm $1 Million for Mutual Fund Supervision Failures
• Commissioner Uyeda Calls for Rethinking Quarterly Reporting and Enhancing Regulatory Transparency 
• FCA Assists Firms with Testing AI for Safety
• ESMA to Launch Common Supervisory Action on MiFID II Conflicts of Interest Requirements

Read the full update here.

FiSolve‘s November 14th weekly financial and regulatory news updates:

• SEC’s Division of Corporation Finance Issues Guidance Following the Shutdown
• 3 in 10 Companies Plan to Replace Employees with AI in 2026
• FINRA Fines and Suspends Broker for Borrowing Money from Customers without Prior Approval
• FCA Announces Partnership with Singapore to Drive Growth and AI Innovation

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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

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FiSolve‘s October 24th weekly financial and regulatory news updates:

• FINRA Fines and Censures Firm for Lack of Reg BI Procedures
• FinCEN Issues FAQs to Clarify Suspicious Activity Reporting Requirements
• Survey Finds High Level of Trust in the Investment Industry, Key to Retention is Combining Trust with Technology

Read the full update here.

FiSolve‘s October 17th weekly financial and regulatory news updates:

• SIFMA Proposes Modernizing SEC Rules to Reflect Today’s Communications Practices
• U.S. and U.K. Take Largest Action Ever Targeting Cybercriminal Networks in Southeast Asia
• FINRA Fines and Suspends Former Assistant for Signing Documents without Permission
• ESMA Announces 2025 European Common Enforcement Priorities and Releases Results of Fact-Finding on Materiality Considerations in Sustainability Reporting

Read the full update here.