The SEC Office of Compliance Inspections and Examinations identified compliance deficiencies in the oversight practices of SEC-registered investment advisers who employ individuals that have a history of disciplinary events.

The FRB highlighted risks related to certain insurance policy indemnifications for the directors and officers of bank holding companies, savings and loan holding companies, and state member banks.

The DOJ indicted four Chinese nationals and a Chinese company for transacting with designated North Korean entities.

The North American Securities Administrators Association advised companies using blockchain technology on an "alternative" method of raising capital through initial loan procurements.

OFAC warned the international civil aviation industry against unauthorized transfers of aircraft and related goods and services to Iran or to designated Iran airlines.