{"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 class=\"wp-block-paragraph\"><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 class=\"wp-block-paragraph\">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 class=\"wp-block-paragraph\"><\/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":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"FiSolve&#039;s February 27th weekly financial and regulatory news updates: SEC\u2019s Division of Enforcement Announces Updates to Enforcement Manual SDNY Announces Corporate Enforcement and Voluntary Self-Disclosure and Cooperation Program for Financial Crimes California DFPI Establishes Venture Capital Diversity Reporting and Registration Requirements SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings FINRA Fines\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. 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