{"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":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1544","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1544"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1544\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1544"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1544"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1544"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}