{"id":1550,"date":"2025-12-05T20:20:05","date_gmt":"2025-12-05T20:20:05","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1550"},"modified":"2025-12-15T13:20:45","modified_gmt":"2025-12-15T13:20:45","slug":"updates-on-sec-finra-fca-and-more-from-fisolve-3","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2025\/12\/05\/updates-on-sec-finra-fca-and-more-from-fisolve-3\/","title":{"rendered":"Updates on SEC, FINRA, FCA and more from FiSolve"},"content":{"rendered":"\n<p><a href=\"http:\/\/fisolve.com\/\" target=\"_blank\" rel=\"noreferrer noopener\">FiSolve<\/a>&#8216;s December 5th 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.sec.gov\/files\/rules\/exorders\/2025\/34-104303.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9BzdB8pqAXbVdAECfW_RHx1Y9G15oMg4CoKMn2NEbGll6yFnE-G1mMO8NvVCm2qV_BpRKY\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Issues Order Granting Temporary Exemptive Relief on Compliance with Rule 13f-2 and Form SHO Reporting until January 2028<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.finra.org\/media-center\/newsreleases\/2025\/finra-orders-securities-america-pay-2-million-restitution-customers?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9BzdB8pqAXbVdAECfW_RHx1Y9G15oMg4CoKMn2NEbGll6yFnE-G1mMO8NvVCm2qV_BpRKY\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Orders Firm to Pay $2 Million in Restitution to Customers, Fines Firm $1 Million for Mutual Fund Supervision Failures<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.sec.gov\/newsroom\/speeches-statements\/uyeda-remarks-institute-corporate-counsel-120325?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9BzdB8pqAXbVdAECfW_RHx1Y9G15oMg4CoKMn2NEbGll6yFnE-G1mMO8NvVCm2qV_BpRKY\" target=\"_blank\" rel=\"noopener\" title=\"\">Commissioner Uyeda Calls for Rethinking Quarterly Reporting and Enhancing Regulatory Transparency\u00a0<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.fca.org.uk\/news\/press-releases\/fca-helps-firms-test-ai-safely?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9BzdB8pqAXbVdAECfW_RHx1Y9G15oMg4CoKMn2NEbGll6yFnE-G1mMO8NvVCm2qV_BpRKY\" target=\"_blank\" rel=\"noopener\" title=\"\">FCA Assists Firms with Testing AI for Safety<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.fca.org.uk\/news\/press-releases\/fca-helps-firms-test-ai-safely?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-9BzdB8pqAXbVdAECfW_RHx1Y9G15oMg4CoKMn2NEbGll6yFnE-G1mMO8NvVCm2qV_BpRKY\" target=\"_blank\" rel=\"noopener\" title=\"\">ESMA to Launch Common Supervisory Action on MiFID II Conflicts of Interest Requirements<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-december-5-2025\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s December 5th 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-1550","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\/1550","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=1550"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1550\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1550"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1550"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1550"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}