{"id":1569,"date":"2026-02-27T16:35:00","date_gmt":"2026-02-27T16:35:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1569"},"modified":"2026-03-09T15:45:05","modified_gmt":"2026-03-09T15:45:05","slug":"updates-on-sec-sdny-fca-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/02\/27\/updates-on-sec-sdny-fca-and-more-from-fisolve\/","title":{"rendered":"Updates on SEC, SDNY, FCA and more from FiSolve"},"content":{"rendered":"\n<p><a href=\"http:\/\/fisolve.com\/\" target=\"_blank\" rel=\"noreferrer noopener\">FiSolve<\/a>&#8216;s February 27th 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\/divisions\/enforce\/enforcementmanual.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-96yDpN8FJD1qARgKtk7vUI1eK_GGr8V_L1kqg6-Y4wo-UInyOI4BqWjBgQqj248w0Cf2tA\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC\u2019s Division of Enforcement Announces Updates to Enforcement Manual<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.justice.gov\/usao-sdny\/self-reporting-program?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-96yDpN8FJD1qARgKtk7vUI1eK_GGr8V_L1kqg6-Y4wo-UInyOI4BqWjBgQqj248w0Cf2tA\" target=\"_blank\" rel=\"noopener\" title=\"\">SDNY Announces Corporate Enforcement and Voluntary Self-Disclosure and Cooperation Program for Financial Crimes<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/dfpi.ca.gov\/regulated-industries\/vcc-reporting-program\/who-should-report\/?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-96yDpN8FJD1qARgKtk7vUI1eK_GGr8V_L1kqg6-Y4wo-UInyOI4BqWjBgQqj248w0Cf2tA\" target=\"_blank\" rel=\"noopener\" title=\"\">California DFPI Establishes Venture Capital Diversity Reporting and Registration Requirements\u00a0<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/rules\/proposed\/2026\/ic-35962.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-96yDpN8FJD1qARgKtk7vUI1eK_GGr8V_L1kqg6-Y4wo-UInyOI4BqWjBgQqj248w0Cf2tA\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2023077467801%20Avantax%20Investment%20Services%2C%20Inc.%20AWC%20lp.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-96yDpN8FJD1qARgKtk7vUI1eK_GGr8V_L1kqg6-Y4wo-UInyOI4BqWjBgQqj248w0Cf2tA\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Fines and Censures Firm for Inadequate WSPs around UTMA Accounts<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.fca.org.uk\/news\/press-releases\/influencers-fined-issuing-unauthorised-financial-promotions?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-96yDpN8FJD1qARgKtk7vUI1eK_GGr8V_L1kqg6-Y4wo-UInyOI4BqWjBgQqj248w0Cf2tA\" target=\"_blank\" rel=\"noopener\" title=\"\">FCA Fines Social Media Influencers for Issuing Unauthorized Financial Promotions<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-february-27-2026\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n\n\n\n<p><\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s February 27th 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-1569","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\/1569","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=1569"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1569\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1569"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1569"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1569"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}