FiSolve Weekly News Digest: May 29, 2026

Here is what we are reading in the news this week...

AI Agents Now Programmed to Automatically

Purchase Securities and Other Things

CNBC is reporting that Robinhood this week released tools that allow AI agents trade stocks and make purchases on users’ behalf. This marks one of the first attempts to bring autonomous finance technology to ordinary investors rather than institutions. The new products, Agentic Trading and an Agentic Credit Card, allow customers to connect third-party AI assistants to carry out investing strategies or spending instructions with minimal human involvement. Users can instruct agents to rebalance portfolios, monitor themes such as AI stocks or execute trading strategies automatically with automated reporting features. Separate AI agents can also search for deals and complete purchases using designated virtual credit cards. Read more here.

FINRA Fines Firms for AML and Supervisory Violations Involving Low-Priced Securities

FINRA has fined two member firms a total of more than $1.1 million for anti-money laundering (AML) and supervisory violations related to low-priced securities transactions. The violations involved low-priced securities transactions, the majority of which occurred through an omnibus account. FINRA noted each firm failed to develop and implement AML compliance programs reasonably designed to detect and cause the reporting of suspicious transactions in low-priced securities. The thin trading volumes, price volatility and limited public information of low-priced securities make them attractive targets for manipulative schemes and fraudulent activity. Effective AML programs are essential for firms that handle low-priced securities transactions to help detect suspicious patterns and prevent illegal activity. Guidance regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 is available at FINRA Regulatory Notice 19-18. Read more about these actions here.

Talent Crunch Driving a

New Workforce Model in Financial Services

The 2026 Outsized Talent on Demand report shows that financial institutions are increasingly relying on independent professionals as traditional hiring struggles to keep up with rapidly evolving skill needs. This is especially the case in areas such as artificial intelligence, regulatory change, and large-scale transformation. Drawing on analysis of hundreds of real engagements, the report highlights a sharp rise in demand for independent talent, extremely fast hiring timelines, and strong ongoing reliance on these specialists through frequent contract extensions. It finds that the primary constraint facing firms is no longer cost or headcount but access to critical capabilities, leading organizations to adopt more flexible workforce models that allow them to quickly source highly specialized expertise. This shift reflects a broader repositioning of talent strategy in financial services, where agility and rapid access to skills are becoming essential to executing complex initiatives and staying competitive. The report appears to support the case for working with firms like FiSolve to effectively meet workplace demands. Read more here.

SEC Investor Advisory Committee to Host June 4 Meeting

The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 4 at 10 AM ET to discuss private markets, passive index funds, and recommendations regarding fund proxy voting and quarterly versus semiannual reporting. The meeting will consist of the following two panels: (1) Avoiding Retail Confusion Regarding Private Market Assets and (2) Passive Index Funds and Shareholder Voting. The Committee also will discuss a potential recommendation regarding fund proxy voting and a potential recommendation regarding quarterly versus semi-annual reporting. Read more here.

FDIC Board Approves Proposal to Address Bank Secrecy Act and Sanctions Compliance Standards for FDIC-Supervised Permitted Payment Stablecoin Issuers

The Federal Deposit Insurance Corporation (FDIC) Board of Directors approved a notice of proposed rulemaking that would implement Bank Secrecy Act (BSA) and sanctions compliance standards applicable to FDIC-supervised permitted payment stablecoin issuers (PPSIs) as required by the Guiding and Establishing National Innovation for U.S. Stablecoins Act (GENIUS Act). Specifically, the proposed rule would require FDIC-supervised PPSIs to comply with applicable regulations regarding anti-money laundering/countering the financing of terrorism (AML/CFT) and economic sanctions programs, and reporting requirements, including requirements established by the Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) and the Office of Foreign Assets Control. The proposed rule would also establish and align supervision and enforcement provisions for PPSI AML/CFT programs with FinCEN requirements. Read more here.

White House Issues Executive Order on Strengthening AML Controls and Mitigating Credit Risks in the U.S. Financial System

An Executive Order was issued this week titled, “Restoring Integrity to America’s Financial System,” that directs federal financial regulators to strengthen safeguards against illicit finance, fraud, and systemic risk by enhancing anti-money laundering (AML) and customer due diligence requirements, particularly in relation to cross-border transactions and identity verification. It emphasizes risks associated with insufficient know-your-customer practices, including terrorist financing, narcotics trafficking, and large-scale money laundering, and instructs the Treasury Department to issue guidance identifying suspicious activity patterns and to propose regulatory changes under the Bank Secrecy Act to improve customer identification and beneficial ownership transparency. The order also highlights concerns about lending risks tied to borrowers who may face wage loss due to immigration status, directing financial regulators and the Consumer Financial Protection Bureau to incorporate such risks into underwriting standards and supervisory guidance, with the broader goal of protecting financial institutions’ safety and soundness while reducing vulnerabilities tied to fraud, sanctions evasion, and underground economic activity. Read more here.

FCA’s Review of Financial Promotion

Approvers Identifies Issues

In a review of firms for compliance with the Consumer Duty, the Financial Conduct Authority found that while some firms abided by the rule’s requirements, other firms approved advertisements with unsubstantiated claims or allowed retail investors to see promotions intended for professional clients. The FCA also found that in some cases, firms relied on third-party templates instead of doing proper checks themselves. Read more here.

ESMA Issues Revised Guidelines to Support Smoother Allocations and Confirms under T+1

The European Securities and Markets Authority (ESMA) launched a consultation on the updated guidelines on standardized procedures and messaging protocols. This review is part of ESMA’s work to support market participants in preparing for the transition to a T+1 settlement cycle. The updates are designed to make post trade communication faster, clearer and more consistent across the EU. Key changes include (1) reflecting the mandatory use of electronic, standardized communication channels and international messaging standards; and (2) removing references to non-electronic and non-machine-readable communication methods, such as oral allocations and confirmations, except in cases of temporary technical disruptions. The consultation comes ahead of the RTS’s formal endorsement by the Commission, to give stakeholders adequate time to submit their feedback and prepare for implementation. ESMA reiterates the importance of preparing for the upcoming regulatory transition to T+1 settlement, which will take effect on 11 October 2027. Stakeholders are invited to submit feedback by July 7, 2026. Read more here.

📣 Coming Up📣

Compliance Anonymous

FiSolve's next Compliance Anonymous session is set for 12 PM ET on June 24. This confidential forum brings together legal, compliance, and operations professionals to openly discuss real-world challenges without attribution or judgment. Participation is free, but to ensure meaningful engagement, seating is limited. Reserve your spot today here.

💡FiSolve's Negotiation Tip of the Week💡

Giving Gifts

Offering a small, thoughtful gift before a negotiation can help establish goodwill, but it must be used in a judicious fashion. In many Western business contexts (such as the U.S. or Northern Europe), pre negotiation gifts can raise ethical concerns or be perceived as an attempt to influence outcomes. This makes such a practice potentially inappropriate or even prohibited under company or legal compliance policies. By contrast, in cultures with strong relationship building traditions—such as Japan, China, or parts of the Middle East—modest gifts are often expected as a sign of respect, though they should be carefully chosen (e.g., avoiding certain numbers or colors with negative symbolism in East Asia) and presented formally. Always consider timing (after initial introductions rather than immediately before critical decision points), value (symbolic rather than expensive), and local norms or regulations. When in doubt, err on the side of transparency or skip the gift altogether and focus on building trust through professionalism and preparation.

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