{"id":1572,"date":"2026-03-13T16:16:00","date_gmt":"2026-03-13T16:16:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1572"},"modified":"2026-03-27T11:27:56","modified_gmt":"2026-03-27T11:27:56","slug":"updates-on-sec-cftc-doj-esma-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/","title":{"rendered":"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve"},"content":{"rendered":"\n<p><a href=\"http:\/\/fisolve.com\/\" target=\"_blank\" rel=\"noreferrer noopener\">FiSolve<\/a>&#8216;s March 13th 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\/mou-sec-cftc-2026.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--Va6xWveNFy3wYKUcjVaKeyuAt2YeHMPsEund2kIAk8rKCz-nxfrwDZIwEidoQOWlF6k-V\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC and CFTC Announce MOU Between Agencies<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.justice.gov\/dag\/media\/1430731\/dl?inline&amp;utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--Va6xWveNFy3wYKUcjVaKeyuAt2YeHMPsEund2kIAk8rKCz-nxfrwDZIwEidoQOWlF6k-V\" target=\"_blank\" rel=\"noopener\" title=\"\">Department of Justice Releases First-Ever Corporate Enforcement Policy for All Criminal Cases<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/file:\/\/\/C:\/Users\/gohanlon\/Downloads\/26-08.pdf\" target=\"_blank\" rel=\"noopener\" title=\"\">CFTC Staff Issues Prediction Markets Advisory<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/litigation\/admin\/2026\/34-104935.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--Va6xWveNFy3wYKUcjVaKeyuAt2YeHMPsEund2kIAk8rKCz-nxfrwDZIwEidoQOWlF6k-V\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Fines Broker-Dealer $20 Million for AML Surveillance Lapses<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/litigation\/admin\/2026\/34-104936.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--Va6xWveNFy3wYKUcjVaKeyuAt2YeHMPsEund2kIAk8rKCz-nxfrwDZIwEidoQOWlF6k-V\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Sanctions Auditing Firm for Audit Failures<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.esma.europa.eu\/sites\/default\/files\/2026-03\/ESMA35-243228190-7410_-_Report_CfE_on_retail_investor_journey.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz--Va6xWveNFy3wYKUcjVaKeyuAt2YeHMPsEund2kIAk8rKCz-nxfrwDZIwEidoQOWlF6k-V\" target=\"_blank\" rel=\"noopener\" title=\"\">ESMA Looks to Simplify Retail Investing and Enhance Accessibility<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-march-13-2026\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s March 13th 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-1572","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 4.9.8 - aioseo.com -->\n\t<meta name=\"description\" content=\"FiSolve&#039;s March 13th weekly financial and regulatory news updates: SEC and CFTC Announce MOU Between Agencies Department of Justice Releases First-Ever Corporate Enforcement Policy for All Criminal Cases CFTC Staff Issues Prediction Markets Advisory SEC Fines Broker-Dealer $20 Million for AML Surveillance Lapses SEC Sanctions Auditing Firm for Audit Failures ESMA Looks to Simplify Retail\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. Kirsch, Editor\"\/>\n\t<link rel=\"canonical\" href=\"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/\" \/>\n\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 4.9.8\" \/>\n\t\t<meta property=\"og:locale\" content=\"en_US\" \/>\n\t\t<meta property=\"og:site_name\" content=\"Legal Perspectives on Current Regulatory Developments for BDs and IAs |\" \/>\n\t\t<meta property=\"og:type\" content=\"article\" \/>\n\t\t<meta property=\"og:title\" content=\"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"FiSolve&#039;s March 13th weekly financial and regulatory news updates: SEC and CFTC Announce MOU Between Agencies Department of Justice Releases First-Ever Corporate Enforcement Policy for All Criminal Cases CFTC Staff Issues Prediction Markets Advisory SEC Fines Broker-Dealer $20 Million for AML Surveillance Lapses SEC Sanctions Auditing Firm for Audit Failures ESMA Looks to Simplify Retail\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2026-03-13T16:16:00+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2026-03-27T11:27:56+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"Updates on SEC, CFTC, DOJ, ESMA 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 March 13th weekly financial and regulatory news updates: SEC and CFTC Announce MOU Between Agencies Department of Justice Releases First-Ever Corporate Enforcement Policy for All Criminal Cases CFTC Staff Issues Prediction Markets Advisory SEC Fines Broker-Dealer $20 Million for AML Surveillance Lapses SEC Sanctions Auditing Firm for Audit Failures ESMA Looks to Simplify Retail\" \/>\n\t\t<script type=\"application\/ld+json\" class=\"aioseo-schema\">\n\t\t\t{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/03\\\/13\\\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\\\/#article\",\"name\":\"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"headline\":\"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve\",\"author\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/#author\"},\"publisher\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\"},\"datePublished\":\"2026-03-13T16:16:00+00:00\",\"dateModified\":\"2026-03-27T11:27:56+00:00\",\"inLanguage\":\"en-US\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/03\\\/13\\\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\\\/#webpage\"},\"isPartOf\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/03\\\/13\\\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\\\/#webpage\"},\"articleSection\":\"Compliance, Enforcement, International, Regulatory, Standard of Care\"},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/03\\\/13\\\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\\\/#breadcrumblist\",\"itemListElement\":[{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu#listItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\\\/\\\/bdia.pli.edu\",\"nextItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"name\":\"Compliance\"}},{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"position\":2,\"name\":\"Compliance\",\"item\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/\",\"nextItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/03\\\/13\\\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\\\/#listItem\",\"name\":\"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve\"},\"previousItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu#listItem\",\"name\":\"Home\"}},{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/03\\\/13\\\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\\\/#listItem\",\"position\":3,\"name\":\"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve\",\"previousItem\":{\"@type\":\"ListItem\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/category\\\/compliance\\\/#listItem\",\"name\":\"Compliance\"}}]},{\"@type\":\"Organization\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\",\"name\":\"Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/\"},{\"@type\":\"Person\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/#author\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/\",\"name\":\"Clifford E. Kirsch, Editor\",\"image\":{\"@type\":\"ImageObject\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/03\\\/13\\\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\\\/#authorImage\",\"url\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/d5c5c98ac1850fefdd198bc19bd5322f72559e8115a14058a24623c6afe0eb9c?s=96&d=mm&r=g\",\"width\":96,\"height\":96,\"caption\":\"Clifford E. Kirsch, Editor\"}},{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/03\\\/13\\\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\\\/#webpage\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/03\\\/13\\\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\\\/\",\"name\":\"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"description\":\"FiSolve's March 13th weekly financial and regulatory news updates: SEC and CFTC Announce MOU Between Agencies Department of Justice Releases First-Ever Corporate Enforcement Policy for All Criminal Cases CFTC Staff Issues Prediction Markets Advisory SEC Fines Broker-Dealer $20 Million for AML Surveillance Lapses SEC Sanctions Auditing Firm for Audit Failures ESMA Looks to Simplify Retail\",\"inLanguage\":\"en-US\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#website\"},\"breadcrumb\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/2026\\\/03\\\/13\\\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\\\/#breadcrumblist\"},\"author\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/#author\"},\"creator\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/index.php\\\/author\\\/mshah\\\/#author\"},\"datePublished\":\"2026-03-13T16:16:00+00:00\",\"dateModified\":\"2026-03-27T11:27:56+00:00\"},{\"@type\":\"WebSite\",\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#website\",\"url\":\"https:\\\/\\\/bdia.pli.edu\\\/\",\"name\":\"Legal Perspectives on Current Regulatory Developments for BDs and IAs\",\"inLanguage\":\"en-US\",\"publisher\":{\"@id\":\"https:\\\/\\\/bdia.pli.edu\\\/#organization\"}}]}\n\t\t<\/script>\n\t\t<!-- All in One SEO -->\n\n","aioseo_head_json":{"title":"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs","description":"FiSolve's March 13th weekly financial and regulatory news updates: SEC and CFTC Announce MOU Between Agencies Department of Justice Releases First-Ever Corporate Enforcement Policy for All Criminal Cases CFTC Staff Issues Prediction Markets Advisory SEC Fines Broker-Dealer $20 Million for AML Surveillance Lapses SEC Sanctions Auditing Firm for Audit Failures ESMA Looks to Simplify Retail","canonical_url":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/","robots":"max-image-preview:large","keywords":"","webmasterTools":{"miscellaneous":""},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/#article","name":"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs","headline":"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve","author":{"@id":"https:\/\/bdia.pli.edu\/index.php\/author\/mshah\/#author"},"publisher":{"@id":"https:\/\/bdia.pli.edu\/#organization"},"datePublished":"2026-03-13T16:16:00+00:00","dateModified":"2026-03-27T11:27:56+00:00","inLanguage":"en-US","mainEntityOfPage":{"@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/#webpage"},"isPartOf":{"@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/#webpage"},"articleSection":"Compliance, Enforcement, International, Regulatory, Standard of Care"},{"@type":"BreadcrumbList","@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/#breadcrumblist","itemListElement":[{"@type":"ListItem","@id":"https:\/\/bdia.pli.edu#listItem","position":1,"name":"Home","item":"https:\/\/bdia.pli.edu","nextItem":{"@type":"ListItem","@id":"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/#listItem","name":"Compliance"}},{"@type":"ListItem","@id":"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/#listItem","position":2,"name":"Compliance","item":"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/","nextItem":{"@type":"ListItem","@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/#listItem","name":"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve"},"previousItem":{"@type":"ListItem","@id":"https:\/\/bdia.pli.edu#listItem","name":"Home"}},{"@type":"ListItem","@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/#listItem","position":3,"name":"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve","previousItem":{"@type":"ListItem","@id":"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/#listItem","name":"Compliance"}}]},{"@type":"Organization","@id":"https:\/\/bdia.pli.edu\/#organization","name":"Legal Perspectives on Current Regulatory Developments for BDs and IAs","url":"https:\/\/bdia.pli.edu\/"},{"@type":"Person","@id":"https:\/\/bdia.pli.edu\/index.php\/author\/mshah\/#author","url":"https:\/\/bdia.pli.edu\/index.php\/author\/mshah\/","name":"Clifford E. Kirsch, Editor","image":{"@type":"ImageObject","@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/#authorImage","url":"https:\/\/secure.gravatar.com\/avatar\/d5c5c98ac1850fefdd198bc19bd5322f72559e8115a14058a24623c6afe0eb9c?s=96&d=mm&r=g","width":96,"height":96,"caption":"Clifford E. Kirsch, Editor"}},{"@type":"WebPage","@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/#webpage","url":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/","name":"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs","description":"FiSolve's March 13th weekly financial and regulatory news updates: SEC and CFTC Announce MOU Between Agencies Department of Justice Releases First-Ever Corporate Enforcement Policy for All Criminal Cases CFTC Staff Issues Prediction Markets Advisory SEC Fines Broker-Dealer $20 Million for AML Surveillance Lapses SEC Sanctions Auditing Firm for Audit Failures ESMA Looks to Simplify Retail","inLanguage":"en-US","isPartOf":{"@id":"https:\/\/bdia.pli.edu\/#website"},"breadcrumb":{"@id":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/#breadcrumblist"},"author":{"@id":"https:\/\/bdia.pli.edu\/index.php\/author\/mshah\/#author"},"creator":{"@id":"https:\/\/bdia.pli.edu\/index.php\/author\/mshah\/#author"},"datePublished":"2026-03-13T16:16:00+00:00","dateModified":"2026-03-27T11:27:56+00:00"},{"@type":"WebSite","@id":"https:\/\/bdia.pli.edu\/#website","url":"https:\/\/bdia.pli.edu\/","name":"Legal Perspectives on Current Regulatory Developments for BDs and IAs","inLanguage":"en-US","publisher":{"@id":"https:\/\/bdia.pli.edu\/#organization"}}]},"og:locale":"en_US","og:site_name":"Legal Perspectives on Current Regulatory Developments for BDs and IAs |","og:type":"article","og:title":"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs","og:description":"FiSolve's March 13th weekly financial and regulatory news updates: SEC and CFTC Announce MOU Between Agencies Department of Justice Releases First-Ever Corporate Enforcement Policy for All Criminal Cases CFTC Staff Issues Prediction Markets Advisory SEC Fines Broker-Dealer $20 Million for AML Surveillance Lapses SEC Sanctions Auditing Firm for Audit Failures ESMA Looks to Simplify Retail","og:url":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/","article:published_time":"2026-03-13T16:16:00+00:00","article:modified_time":"2026-03-27T11:27:56+00:00","twitter:card":"summary_large_image","twitter:title":"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve | Legal Perspectives on Current Regulatory Developments for BDs and IAs","twitter:description":"FiSolve's March 13th weekly financial and regulatory news updates: SEC and CFTC Announce MOU Between Agencies Department of Justice Releases First-Ever Corporate Enforcement Policy for All Criminal Cases CFTC Staff Issues Prediction Markets Advisory SEC Fines Broker-Dealer $20 Million for AML Surveillance Lapses SEC Sanctions Auditing Firm for Audit Failures ESMA Looks to Simplify Retail"},"aioseo_meta_data":{"post_id":"1572","title":null,"description":null,"keywords":null,"keyphrases":{"focus":{"keyphrase":"","score":0,"analysis":{"keyphraseInTitle":{"score":0,"maxScore":9,"error":1}}},"additional":[]},"primary_term":null,"canonical_url":null,"og_title":null,"og_description":null,"og_object_type":"default","og_image_type":"default","og_image_url":null,"og_image_width":null,"og_image_height":null,"og_image_custom_url":null,"og_image_custom_fields":null,"og_video":"","og_custom_url":null,"og_article_section":null,"og_article_tags":null,"twitter_use_og":false,"twitter_card":"default","twitter_image_type":"default","twitter_image_url":null,"twitter_image_custom_url":null,"twitter_image_custom_fields":null,"twitter_title":null,"twitter_description":null,"schema":{"blockGraphs":[],"customGraphs":[],"default":{"data":{"Article":[],"Course":[],"Dataset":[],"FAQPage":[],"Movie":[],"Person":[],"Product":[],"ProductReview":[],"Car":[],"Recipe":[],"Service":[],"SoftwareApplication":[],"WebPage":[]},"graphName":"Article","isEnabled":true},"graphs":[]},"schema_type":"default","schema_type_options":null,"pillar_content":false,"robots_default":true,"robots_noindex":false,"robots_noarchive":false,"robots_nosnippet":false,"robots_nofollow":false,"robots_noimageindex":false,"robots_noodp":false,"robots_notranslate":false,"robots_max_snippet":"-1","robots_max_videopreview":"-1","robots_max_imagepreview":"large","priority":null,"frequency":"default","local_seo":null,"breadcrumb_settings":null,"limit_modified_date":false,"ai":{"faqs":[],"keyPoints":[],"titles":[],"descriptions":[],"socialPosts":{"email":[],"linkedin":[],"twitter":[],"facebook":[],"instagram":[]}},"created":"2026-03-27 11:16:14","updated":"2026-03-27 12:17:14","seo_analyzer_scan_date":null},"aioseo_breadcrumb":"<div class=\"aioseo-breadcrumbs\"><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\" title=\"Home\">Home<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/\" title=\"Compliance\">Compliance<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\tUpdates on SEC, CFTC, DOJ, ESMA and more from FiSolve\n\t\t<\/span><\/div>","aioseo_breadcrumb_json":[{"label":"Home","link":"https:\/\/bdia.pli.edu"},{"label":"Compliance","link":"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/"},{"label":"Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/03\/13\/updates-on-sec-cftc-doj-esma-and-more-from-fisolve\/"}],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1572","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=1572"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1572\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1572"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1572"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1572"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}