CFTC Division of Enforcement Director James M. McDonald urged regulated entities to heed recently published Civil Monetary Penalty Guidance.

A blockchain services company settled charges in connection with the distribution of an unregistered initial coin offering.

IOSCO requested comments on updated principles for regulated entities that outsource functions.

The staff of the SEC Division of Investment Management withdrew 2010 guidance which reviewed the permissibility of an SEC-registered, closed-end fund determining to opt in to a control share acquisition statute authorized under state law.

The DOL adopted a rule amendment to create a new safe harbor which allows certain employee benefit plan administrators to provide plan participants with information using electronic media as the default method of delivery.