{"id":1584,"date":"2026-05-15T13:41:00","date_gmt":"2026-05-15T13:41:00","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1584"},"modified":"2026-06-09T12:29:58","modified_gmt":"2026-06-09T12:29:58","slug":"updates-on-sec-finra-cftc-and-more-from-fisolve-6","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/05\/15\/updates-on-sec-finra-cftc-and-more-from-fisolve-6\/","title":{"rendered":"Updates on SEC, FINRA, CFTC, and more from FiSolve"},"content":{"rendered":"\n<p>This week\u2019s developments pointed to a regulatory environment focused on enforcement priorities, early remediation, and market oversight. <\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.sec.gov\/newsroom\/speeches-statements\/woodcock-remarks-mfa-legal-compliance-2026-conference-051326?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_I2apfgiVsfx05q76GQowHe3wnN-JgpieOumneqVpLB8PAyKDJRQovaCrk4dWO3w6MJWOR\" target=\"_blank\" rel=\"noopener\" title=\"\">The SEC\u2019s new Enforcement Director outlined a back-to-basics agenda centered on investor protection, insider trading, market manipulation, and private fund risks<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.finra.org\/media-center\/blog\/expanding-rapid-remediation?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_I2apfgiVsfx05q76GQowHe3wnN-JgpieOumneqVpLB8PAyKDJRQovaCrk4dWO3w6MJWOR\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA highlighted a more preventative compliance approach through its expanded Rapid Remediation initiative <\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/file:\/\/\/C:\/Users\/gohanlon\/Downloads\/OGC_OhioAmicusBrief051226.pdf\" target=\"_blank\" rel=\"noopener\" title=\"\">The CFTC continued its push to defend exclusive federal authority over prediction markets <\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.esma.europa.eu\/sites\/default\/files\/2026-05\/ESMA34-1436284137-2305_Final_Report_on_the_Common_Supervisory_Action_on_Compliance_and_Internal_Audit_Functions.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_I2apfgiVsfx05q76GQowHe3wnN-JgpieOumneqVpLB8PAyKDJRQovaCrk4dWO3w6MJWOR\" target=\"_blank\" rel=\"noopener\" title=\"\">ESMA flagged governance and control-function weaknesses in its latest supervisory review of fund managers <\/a><\/li>\n\n\n\n<li>New reports on <a href=\"https:\/\/insights.selbyjennings.com\/usa-financial-services-talent-report-2026\/?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_I2apfgiVsfx05q76GQowHe3wnN-JgpieOumneqVpLB8PAyKDJRQovaCrk4dWO3w6MJWOR\" target=\"_blank\" rel=\"noopener\" title=\"\">financial services talent <\/a>and <a href=\"https:\/\/pitchbook.com\/news\/reports\/q1-2026-ai-vc-trends?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-_I2apfgiVsfx05q76GQowHe3wnN-JgpieOumneqVpLB8PAyKDJRQovaCrk4dWO3w6MJWOR\" target=\"_blank\" rel=\"noopener\" title=\"\">concentrated AI funding <\/a>underscored how workforce pressures and capital flows are continuing to reshape the broader industry<\/li>\n<\/ul>\n\n\n\n<p>Read the full update from <a href=\"http:\/\/fisolve.com\/\" target=\"_blank\" rel=\"noopener\" title=\"\">FiSolve<\/a> <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-may-1-2028\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>This week\u2019s developments pointed to a regulatory environment focused on enforcement priorities, early remediation, and market oversight. Read the full update from FiSolve 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],"tags":[],"class_list":["post-1584","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-international","category-regulatory"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.8 - aioseo.com -->\n\t<meta name=\"description\" content=\"This week\u2019s developments pointed to a regulatory environment focused on enforcement priorities, early remediation, and market oversight. 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