{"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":[],"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}]}}