OFAC sanctioned Iran's largest petrochemical company holding company and its network of subsidiaries and agents for providing financial support to the engineering conglomerate of the Islamic Revolutionary Guard Corps.
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SEC Commissioner Hester Peirce urged critics "to take a fair look at what [Regulation Best Interest] says before . . . proclaim[ing] it a success or failure" and committed the agency to closely monitoring the implementation of the new rule.
The Chicago Mercantile Exchange Business Conduct Committee charged a firm for exceeding the spot month position limit in September 2017 corn futures contracts.
The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief allowing swap dealers to permit certain amendments to "legacy swaps" without causing them to lose their legacy status under uncleared swaps margin requirements.
The SEC filed a new action against a financial technology company and its CEO for (i) falsifying revenue and (ii) fraudulently securing the company's listing on Nasdaq.