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Navigating Securities Prohibitions in U.S. Sanctions

The Review of Securities & Commodities Regulation

In this issue of The Review of Securities & Commodities Regulation, Laura Deegan and Annie Cho analyzed the complexities of U.S. sanctions and securities, outlining three distinct U.S. sanctions programs: the Russian Harmful Foreign Activities Sanctions Regulations, Venezuela Sanctions Regulations, and Chinese-Military Industrial Complex Sanctions Regulations, along with enforcement trends affecting the securities industry. "While many global banks with trading divisions and broker-dealers have found themselves at the center of OFAC enforcement investigations, there have been few enforcement cases focusing on potential violations in relation to securities transactions," the authors wrote.