OFAC sanctioned a number of financial services firms for facilitating transactions or offering other services that helped OFAC-designated entities evade Ukraine war sanctions.
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OFAC sanctioned a Chinese company for cyber operations targeting U.S. entities that operate within U.S. critical infrastructure sectors.
The Federal Reserve Bank and the Office of the Comptroller of the Currency fined a bank for failing to monitor firm and client trading activities.
A firm settled FINRA charges for improperly programming trading algorithms, which resulted in orders being improperly sent to the market.
A firm settled with FINRA for charging unfair prices in corporate and municipal bond transactions and for failing to establish and maintain a supervisory system reasonably designed to achieve compliance with its fair pricing obligations.