FiSolve‘s August 15th weekly financial and regulatory news updates:

• SEC Obtains Judgment Against PCAOB Firm and its Managing Partner in Financial Fraud Case
• SEC Settles Case with Broker in Options Spoofing Case
• Federal Court Orders New York Man to Pay Over $3.4 Million For Forex Fraud Scheme Following CFTC Summary Judgment Ruling
• South Korean Crypto Entrepreneur Pleads Guilty in $40 Billion Crypto Collapse
• SEC Launches New Statistics and Data Visualizations Webpage

Read the full update here.

FiSolve‘s August 8th weekly financial and regulatory news updates:

• SEC Charges Colorado-Based Investment Adviser with Reg M Trading Violations
• Executive Order to Facilitate Investment by Retirement Plans in a Wider Range of Assets
• Defense Contractor and Private Equity Firm Agree to Pay $1.75M to Resolve False Claims Act Liability Relating to Voluntary Self-Disclosure of Cybersecurity Violations
• SEC’s Division of Corporation Finance Issues Staff Statement on Liquid Staking Activities
• EFRAG Publishes Amended ESRS Exposure Drafts

Read the full update here.

FiSolve‘s July 25th weekly financial and regulatory news updates:

• Treasury Announces Postponement and Reopening of Investment Adviser AML Rule
• SEC Announces Roundtable on Trade-Through Prohibitions
• President Trump Signs GENIUS Act into Law
• Compliance Reminder: BE-180 Benchmark Survey Due July 31, 2025
• ESMA Issues FAQ on Use of Performance Fees on UCITS Feeder Funds, MiCA

Read the full update here.

FiSolve‘s July 11 weekly financial and regulatory news updates:

• SEC Brings Action Against Investment Adviser and its CEO for Charging Improper Fees
• SEC Charges Investment Adviser with Cherry Picking
• Federal Court Orders Chicago Commodity Pool Operators, Owner, Former Chief Portfolio Manager to Pay More Than $6M in Fraud Action
• Commissioner Peirce Reminds Industry Tokenization Does Not Create a Magic Loophole 
• ESMA Publishes Peer Review on Crypto Service Providers in Malta under the MICA

Read the full update here.

From our friends at FiSolve, this week’s financial and regulatory news:

• SEC Division of Corporation Issues Statement on Crypto Asset Exchange-Traded Products
• SEC Chairman Discusses Innovation and Priorities in CNBC Interview
• FINRA Announces Proposed Amendments to Rule 2210 (Communications with the Public)
• CFTC Issues FAQs on Future Commission Merchant Registration Requirements
• Private Equity Deal Activity Remains Positive
• ESMA Publishes Note on Sustainability-Related Claims

Read the full update here.