{"id":1553,"date":"2026-01-10T17:14:00","date_gmt":"2026-01-10T17:14:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1553"},"modified":"2026-01-12T20:33:25","modified_gmt":"2026-01-12T20:33:25","slug":"updates-on-sec-fca-ai-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/01\/10\/updates-on-sec-fca-ai-and-more-from-fisolve\/","title":{"rendered":"Updates on SEC, FCA, AI and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\"><a href=\"http:\/\/fisolve.com\/\" target=\"_blank\" rel=\"noreferrer noopener\">FiSolve<\/a>&#8216;s January 9th weekly financial and regulatory news updates:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.wsj.com\/finance\/banking\/jpmorgan-cuts-all-ties-with-proxy-advisers-in-industry-first-78c43d5f?st=7dB7aT&amp;reflink=desktopwebshare_permalink&amp;utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--1BZ7Axjj4q9-gkY1sqa8qGPtIECoGDIM-MMUeeElKC6JydKT4bcDtfgUaglnYWwv4ShYD\" target=\"_blank\" rel=\"noopener\" title=\"\">JP Morgan Chase Pivots to Internal, AI Driven Platform for Proxy Voting Decisions<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/rules\/proposed\/2026\/ia-6935.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--1BZ7Axjj4q9-gkY1sqa8qGPtIECoGDIM-MMUeeElKC6JydKT4bcDtfgUaglnYWwv4ShYD\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.justice.gov\/opa\/pr\/td-bank-insider-pleads-guilty-facilitating-money-laundering?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--1BZ7Axjj4q9-gkY1sqa8qGPtIECoGDIM-MMUeeElKC6JydKT4bcDtfgUaglnYWwv4ShYD\" target=\"_blank\" rel=\"noopener\" title=\"\">Bank Insider Pleads Guilty to Facilitating Money Laundering<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.fca.org.uk\/news\/press-releases\/fca-fines-former-finance-directors-carillion-plc?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--1BZ7Axjj4q9-gkY1sqa8qGPtIECoGDIM-MMUeeElKC6JydKT4bcDtfgUaglnYWwv4ShYD\" target=\"_blank\" rel=\"noopener\" title=\"\">FCA Fines Two Former Finance Directors for Company\u2019s Misleading Statements<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.esma.europa.eu\/sites\/default\/files\/2026-01\/ESAs_Final_Report_-_Joint_Guidelines_on_ESG_Stress_Testing.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--1BZ7Axjj4q9-gkY1sqa8qGPtIECoGDIM-MMUeeElKC6JydKT4bcDtfgUaglnYWwv4ShYD\" target=\"_blank\" rel=\"noopener\" title=\"\">ESAs Publish Joint Guidelines on ESG Stress Testing<\/a><\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s January 9th weekly financial and regulatory news updates:<\/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-1553","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 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"FiSolve&#039;s January 9th weekly financial and regulatory news updates: JP Morgan Chase Pivots to Internal, AI Driven Platform for Proxy Voting Decisions SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act Bank Insider Pleads Guilty to Facilitating Money Laundering FCA Fines Two Former\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. 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Insider Pleads Guilty to Facilitating Money Laundering FCA Fines Two Former\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2026\/01\/10\/updates-on-sec-fca-ai-and-more-from-fisolve\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2026-01-10T17:14:00+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2026-01-12T20:33:25+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"Updates on SEC, FCA, AI and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta name=\"twitter:description\" content=\"FiSolve&#039;s January 9th weekly financial and regulatory news updates: JP Morgan Chase Pivots to Internal, AI Driven Platform for Proxy Voting Decisions SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act Bank 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