The SEC Division of Examinations identified compliance deficiencies by investment advisers that provide digital investment advisory services.

OFAC charged a United Arab Emirates Bank for violating now-repealed Sudanese Sanctions by processing monetary payments from the bank's London branch through U.S. financial institutions.

An exchange-traded commodity pool trading oil futures and its general partner, a CPO, settled parallel SEC and CFTC charges for misleading disclosure statements.

SEC Commissioner Caroline Crenshaw emphasized both the opportunities and potential risks decentralized finance poses to investors.

A broker-dealer settled FINRA charges for failing to identify and supervise trading in customer accounts that was excessive and unsuitable.