{"id":1592,"date":"2026-06-12T13:09:43","date_gmt":"2026-06-12T13:09:43","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1592"},"modified":"2026-06-12T13:09:46","modified_gmt":"2026-06-12T13:09:46","slug":"updates-on-sec-occ-cftc-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2026\/06\/12\/updates-on-sec-occ-cftc-and-more-from-fisolve\/","title":{"rendered":"Updates on SEC, OCC, CFTC and more from FiSolve"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\">This week\u2019s developments point to a common theme across financial regulation and business strategy: institutions are facing rising pressure to strengthen transparency, oversight, and adaptability. <\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>the SEC continues to focus on<a href=\"https:\/\/www.linkedin.com\/posts\/steven-yadegari-113193118_must-read-sec-risk-alert-on-ia-economic-share-7470179079913095168-dalD\/?utm_source=hs_email&amp;utm_medium=email&amp;rcm=ACoAAB02-d8Bay_bPZU4ayUuqGmkeHQKxNe5xfY\" title=\"\"> <\/a><a href=\"https:\/\/www.linkedin.com\/posts\/steven-yadegari-113193118_must-read-sec-risk-alert-on-ia-economic-activity-7470179082601951232-XGY5?rcm=ACoAAB02-d8Bay_bPZU4ayUuqGmkeHQKxNe5xfY&amp;utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8o6FGBRX-k4sO4eV9EuS7zQroBL0DfTGA8ixI-7v6MbazAB-5SNDIcu5ARqfSYrtcCVZ43\" target=\"_blank\" rel=\"noopener\" title=\"\">conflicts disclosures<\/a><a href=\"https:\/\/www.linkedin.com\/posts\/steven-yadegari-113193118_must-read-sec-risk-alert-on-ia-economic-share-7470179079913095168-dalD\/?utm_source=hs_email&amp;utm_medium=email&amp;rcm=ACoAAB02-d8Bay_bPZU4ayUuqGmkeHQKxNe5xfY\" title=\"\"> <\/a>and <a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/litigation\/admin\/2026\/ia-6970.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8o6FGBRX-k4sO4eV9EuS7zQroBL0DfTGA8ixI-7v6MbazAB-5SNDIcu5ARqfSYrtcCVZ43\" target=\"_blank\" rel=\"noopener\" title=\"\">compliance controls for investment advisers <\/a><\/li>\n\n\n\n<li>the OCC and CFTC are advancing new frameworks for<a href=\"https:\/\/occ.gov\/news-issuances\/bulletins\/2026\/bulletin-2026-24.html?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8o6FGBRX-k4sO4eV9EuS7zQroBL0DfTGA8ixI-7v6MbazAB-5SNDIcu5ARqfSYrtcCVZ43\" target=\"_blank\" rel=\"noopener\" title=\"\"> stablecoin reporting<\/a> and <a href=\"https:\/\/occ.gov\/news-issuances\/bulletins\/2026\/bulletin-2026-24.html?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8o6FGBRX-k4sO4eV9EuS7zQroBL0DfTGA8ixI-7v6MbazAB-5SNDIcu5ARqfSYrtcCVZ43\" target=\"_blank\" rel=\"noopener\" title=\"\">event-contract review<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/rules\/proposed\/2026\/34-105655.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8o6FGBRX-k4sO4eV9EuS7zQroBL0DfTGA8ixI-7v6MbazAB-5SNDIcu5ARqfSYrtcCVZ43\" target=\"_blank\" rel=\"noopener\" title=\"\">the SEC\u2019s proposed rollback of certain Regulation NMS rules signals a push to simplify market structure<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.fca.org.uk\/publication\/decision-notices\/carlos-ricardo-fuenmayor-2026.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8o6FGBRX-k4sO4eV9EuS7zQroBL0DfTGA8ixI-7v6MbazAB-5SNDIcu5ARqfSYrtcCVZ43\" target=\"_blank\" rel=\"noopener\" title=\"\">the FCA\u2019s enforcement action underscores the risks of incomplete regulatory disclosure <\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.mckinsey.com\/~\/media\/mckinsey\/business%20functions\/people%20and%20organizational%20performance\/our%20insights\/hr%20monitor%202026%20a%20turning%20point%20for%20the%20people%20function\/hr-monitor-2026-a-turning-point-for-the-people-function_final.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8o6FGBRX-k4sO4eV9EuS7zQroBL0DfTGA8ixI-7v6MbazAB-5SNDIcu5ARqfSYrtcCVZ43\" target=\"_blank\" rel=\"noopener\" title=\"\">McKinsey\u2019s latest research shows how AI is transforming HR into a central driver of workforce planning, reskilling, and organizational change<\/a><\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">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-june-12-2026?ecid=&amp;utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8o6FGBRX-k4sO4eV9EuS7zQroBL0DfTGA8ixI-7v6MbazAB-5SNDIcu5ARqfSYrtcCVZ43\" target=\"_blank\" rel=\"noopener\" title=\"\">here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>This week\u2019s developments point to a common theme across financial regulation and business strategy: institutions are facing rising pressure to strengthen transparency, oversight, and adaptability. 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":[23,24,25,21,22],"tags":[],"class_list":["post-1592","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=\"This week\u2019s developments point to a common theme across financial regulation and business strategy: institutions are facing rising pressure to strengthen transparency, oversight, and adaptability. the SEC continues to focus on conflicts disclosures and compliance controls for investment advisers the OCC and CFTC are advancing new frameworks for stablecoin reporting and event-contract review the SEC\u2019s\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Clifford E. 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