NFA notified futures commission merchants and introducing brokers of the Financial Action Task Force's adoption of a report on crowdfunding techniques used by terrorist groups to raise money for attacks.
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The SEC set a comment deadline on amendments to NFA compliance rules and interpretations related to AML suspicious activity report confidentiality.
A futures commission merchant settled CFTC charges for failing to (i) implement an adequate AML program, (ii) impose risk-based trading position limits on a customer's accounts and (iii) maintain customer records for a substantial period of time.
The CFTC sanctioned a digital asset commodity trading platform for failing to register with the CFTC as either a DCM or an FCM and offering trading in CFTC-regulated products to retail investors.
The founders of a cryptocurrency derivatives exchange settled CFTC charges related to owning and operating an unregistered platform.