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United States
Sanctions
US Imposes Sanctions Targeting Transfer of DPRK Missiles to Russia
By Editors | 12/01/2024
Three Russian entities, one individual, and four aircraft were designated over the transfer of ballistic missiles to Russia for use against Ukraine.
Enforcement
Software Giant SAP to Pay Over $220m to Resolve FCPA Violations
By Editors | 12/01/2024
SAP paid bribes to government officials in South Africa, Indonesia, Malawi, Kenya, Tanzania, Ghana and Azerbaijan.
Crypto / Digital Assets
FINRA Report Describes Crypto-related Compliance Risks
By Mark Johnston | 12/01/2024
FINRA says member firms must notify it if they or their affiliates engage or plan to engage in crypto asset-related activities.
Crypto / Digital Assets
US SEC Approves Rule Changes Permitting Bitcoin ETFs
By Nithya Subramanian | 11/01/2024
The regulator has also announced investor protection requirements, adding that exchanges will have to adhere to rules to prevent fraud and manipulation.
Big Picture
Teething Issues: OTC Derivatives Reporting Rewrites in APAC
By Manesh Samtani | 10/01/2024
The more challenging aspects of implementation involve jurisdiction-specific data fields, the UTI waterfall, UTI generation, and ISO 20022.
Crypto / Digital Assets
US SEC to Investigate False Tweet on Bitcoin ETF Approvals
By Mark Johnston | 09/01/2024
US SEC claims official X account was hacked, posting a false tweet about approving bitcoin ETFs, causing a brief surge and crash in bitcoin price.
Crypto / Digital Assets
Thai SEC Proposes Changes to Digital Assets Licensing Process
By Editors | 09/01/2024
The SEC said the changes will enhance the efficiency of the licensing process and ensure greater clarity and appropriateness of the regulatory framework.
Crypto / Digital Assets
CFTC Offers Policy Recommendations to Address DeFi Risks
By Manesh Samtani | 09/01/2024
The report calls on the government and industry to work together to better understand DeFi and “advance its responsible and compliant development”.
Crypto / Digital Assets
HK Spot Crypto ETFs to Drive Collaboration with TradFI Firms
By Nithya Subramanian | 09/01/2024
With regulatory safeguards in place, the success of crypto ETFs hinges on institutional interest tied to market conditions, including crypto valuations.
Big Picture
Early Testing Will Be Key to Derivatives Reporting Compliance
By Manesh Samtani | 04/01/2024
DTCC’s Chris Childs and Priya Kundamal say there is no replacement for early testing to ensure data and reporting systems are fit for purpose.
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