United States

Conduct, Culture & Accountability

US SEC Blocks Staff Messaging on Mobile Devices

By Editors | 17/04/2024

The SEC is restricting access to SMS, iMessage, and third-party messaging applications on employees’ work mobile phones.

Market Data & Technology

ISDA Extends Digital Regulatory Reporting Initiative

By Editors | 17/04/2024

The initiative is being extended to cover new derivatives reporting rules in the UK, Australia and Singapore.

Market Abuse

SET Board Approves Measures to Boost Market Confidence

By Sanday Chongo Kabange | 17/04/2024

HFT firms will have to register with the SET and securities firms will have to implement controls to prevent naked short selling.

Anti-Money Laundering

US, China Commence Meetings on AML, Financial Sector Resilience

By Mark Johnston | 16/04/2024

At the AML/CFT meetings, officials discussed virtual assets and beneficial ownership, with both sides agreeing to continue meeting regularly.

KYC & CDD

Multiple US Regulators Probing Morgan Stanley’s Wealth Arm – Report

By Nithya Subramanian | 16/04/2024

US regulators are assessing whether the bank has sufficiently investigated the identities of clients and their sources of wealth.

PEPs & Sanctions

US and Canada Sanction Belarus-linked Individuals and Entities

By Editors | 16/04/2024

The US sanctions target revenue-generating SOEs and others involved in a global arms network. Canada’s sanctions are human rights-related.

Fraud, Scams & Cybercrime

Thailand to Tighten Rules for P2P Trading of Crypto

By Nithya Subramanian | 15/04/2024

Thai Minister calls on SEC to extend existing crypto regulations to cover P2P channels as a way to combat fraud and scams.

PEPs & Sanctions

G7 Considers Sanctions Response to Iran Attack on Israel

By Editors | 15/04/2024

The sanctions may involve designating Iran’s IRGC as a terrorist organisation, and specific sanctions against drone and missile programmes.

PEPs & Sanctions

US and EU Announce New Sanctions Targeting Hamas

By Editors | 15/04/2024

The US targeted leaders of Hamas cyber and drone operations. The EU targeted three entities linked to human rights abuses.