{"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>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>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":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1592","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=1592"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1592\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1592"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1592"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1592"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}