In separate CFTC, SEC and FINRA actions, a dually registered futures commission merchant and broker-dealer settled charges of AML compliance and suspicious activity report filing failures.
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SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.
A broker-dealer / swap dealer settled parallel SEC and CFTC charges for "widespread" recordkeeping failures related to communications on personal devices, personal email and Internet applications.
SEC Chair Jay Clayton and CFTC Chair J. Christopher Giancarlo vowed to support and scrutinize distributed ledger technology and cryptocurrency-related market activity.
The Options Clearing Corporation settled SEC and CFTC charges alleging failures to address risk management related compliance requirements.