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United States
Conduct, Culture & Accountability
US SEC Adopts Amendments to Strengthen Ethics Rules
By Mark Johnston | 24/02/2024
The SEC has adopted amendments banning employees from investing in financial sector funds and enabling automated compliance monitoring.
Fraud, Scams & Cybercrime
Montenegro Court to Extradite Do Kwon to the US, Not Korea
By Mark Johnston | 23/02/2024
Montenegro’s High Court decided to approve the US extradition request over South Korea’s, citing the gravity of the charges and the evidence presented by US authorities.
Trading & Investment
Philippines Explores Public Listing Options for Two Major State Banks
By Sanday Chongo Kabange | 23/02/2024
The DOF is looking to facilitate stock market listings by LandBank and DBP, among other initiatives to further develop the capital market.
Cryptocurrency
Thai SEC Passes Resolution to Revoke Zipmex Crypto Licence
By Editors | 23/02/2024
The SEC says Zipmex’s business licence needs to be revoked to prevent further harm to clients’ interests, after the company failed to resolve deficiencies by another deadline.
PEPs & Sanctions
US Unveils Five Enforcement Actions Involving Russian Oligarchs
By Editors | 23/02/2024
The actions, including charges against the CEO of Russia’s VTB Bank, were unveiled just ahead of the two-year anniversary of the war in Ukraine.
PEPs & Sanctions
Three FIUs Issue Guidance on Russia Sanctions Evasion
By Manesh Samtani | 23/02/2024
The FIUs of Canada, Netherlands and Germany issued a joint advisory providing indicators to aid in the detection of dual-use goods trade involving Russia.
Cryptocurrency
Fed Researchers Explore Governance of Permissionless Blockchains
By Mark Johnston | 23/02/2024
New paper explores the stakeholders, governance models, and hard fork patterns of the Bitcoin and Ethereum networks.
Fraud, Scams & Cybercrime
Cybercrime Group LockBit Has Been Dismantled
By Manesh Samtani | 21/02/2024
Law enforcement from ten countries have disrupted the criminal operation of the LockBit ransomware group.
Conduct, Culture & Accountability
Regulators Face Culture Challenges Just Like Those They Regulate: Report
By Manesh Samtani | 20/02/2024
New Starling Insights report argues says regulators suffer from the same cultural and behavioral ills that trouble the firms they oversee.
Sustainable Finance
Thai SEC Proposes Principles for “Green Investment Trusts”
By Mark Johnston | 20/02/2024
The SEC aims to use GITs as a tool to encourage investment in projects that conserve or preserve the environment.
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