An annuities firm agreed to settle FINRA charges for misrepresenting the nature of a portfolio containing several retirement bond funds.
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CFTC Chair J. Christopher Giancarlo urged U.S. regulators to clarify obligations for dealers to exchange initial margin where requirements are below the $50 million threshold amount specified in the rules.
OFAC provided detailed sanctions compliance guidance for organizations that are subject to U.S. jurisdiction as well as for foreign entities that conduct business in or with the United States.
In an address on the application of antitrust laws to the financial sector, DOJ Assistant Attorney General Makan Delrahim stated that theories concerning the common ownership debate and institutional investors must be "rooted in theories of harm."
A global shipping and logistics company agreed to settle OFAC charges of violating Weapons of Mass Destruction Proliferators Sanctions regulations.