{"id":1544,"date":"2025-11-08T12:38:00","date_gmt":"2025-11-08T12:38:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1544"},"modified":"2025-11-14T16:51:23","modified_gmt":"2025-11-14T16:51:23","slug":"updates-on-finra-fca-sec-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2025\/11\/08\/updates-on-finra-fca-sec-and-more-from-fisolve\/","title":{"rendered":"Updates on FINRA, FCA, SEC and more from FiSolve"},"content":{"rendered":"\n<p><a href=\"http:\/\/FiSolve.com\" target=\"_blank\" rel=\"noopener\" title=\"\">FiSolve<\/a>&#8216;s November 7th weekly financial and regulatory news updates:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/2025-11\/first-trust-portfolios-awc-2020066123602-110325.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--4dFPcF3pz2b26VHckjfdIb2I7jp4E8Q8Og0te6j8xJXYx2Mco5xAPx_kSZbVhqmxni6PI\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Fines Firm $10 Million for Violations Relating to Gifts and Entertainment<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/research.checkpoint.com\/2025\/microsoft-teams-impersonation-and-spoofing-vulnerabilities-exposed\/?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--4dFPcF3pz2b26VHckjfdIb2I7jp4E8Q8Og0te6j8xJXYx2Mco5xAPx_kSZbVhqmxni6PI\" target=\"_blank\" rel=\"noopener\" title=\"\">Cyber Threat Intelligence Firm Warns of Impersonation and Spoofing Vulnerabilities with Microsoft Teams<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.fca.org.uk\/publications\/multi-firm-reviews\/consolidation-financial-advice-and-wealth-management-sector?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--4dFPcF3pz2b26VHckjfdIb2I7jp4E8Q8Og0te6j8xJXYx2Mco5xAPx_kSZbVhqmxni6PI\" target=\"_blank\" rel=\"noopener\" title=\"\">FCA Publishes Review of Consolidation in Financial Advice and Wealth Management Sector<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.esma.europa.eu\/sites\/default\/files\/2025-11\/ESMA50-1949966494-3918_Report_on_total_costs_of_investing_in_UCITS_and_AIFs.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--4dFPcF3pz2b26VHckjfdIb2I7jp4E8Q8Og0te6j8xJXYx2Mco5xAPx_kSZbVhqmxni6PI\" target=\"_blank\" rel=\"noopener\" title=\"\">ESMA Finds Distribution Costs Account for Almost \u00bd the Total Costs Paid to Invest in UCITS<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/rules\/exorders\/2025\/34-104172.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--4dFPcF3pz2b26VHckjfdIb2I7jp4E8Q8Og0te6j8xJXYx2Mco5xAPx_kSZbVhqmxni6PI\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Issues Exemptive Order Regarding Compliance with Regulation NMS Rule Updates<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-november-7-2025\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n\n\n\n<p><\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s November 7th weekly financial and regulatory news updates: Read the full update here.<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,25,21,22],"tags":[],"class_list":["post-1544","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-international","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.8 - aioseo.com -->\n\t<meta name=\"description\" content=\"FiSolve&#039;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 \u00bd the\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. 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