A firm settled FINRA charges for failing to establish a reasonable AML program designed to report suspicious transactions, and for failing to respond reasonably to red flags associated with China-based accounts.

At a meeting of the OCC, FDIC and President's Working Group on Financial Markets, the PWG stated its intent to address regulatory gaps with respect to stablecoins in the coming months.

NFA extended relief from the requirement to conduct on-site annual inspections of their branch offices and guaranteed introducing brokers.

An investment adviser settled SEC charges for failing to adopt reasonably designed policies with respect to the holding period for a volatility-linked exchange-traded product held in advisory clients' accounts.