A broker-dealer settled FINRA charges for failing to (i) implement reasonably designed AML policies, (ii) identify and respond to potentially manipulative trading and (iii) establish sufficient market access controls and procedures.
Treasury issued a Request for Comment on digital asset-related illicit finance and national security risks, as well as its publicly released action plan to address those risks.
The White House issued guidance outlining the government's regulatory approach to addressing the potential risks and benefits of cryptocurrencies and other digital assets, as well as the underlying technology.
OFAC issued four FAQs related to a previously sanctioned virtual currency mixer used in facilitating illicit activities for OFAC-sanctioned entities.
A broker-dealer settled FINRA charges for AML program compliance, supervision and communications recordkeeping failures.