United States

PEPs & Sanctions

US and UK Announce Sanctions on Hamas Leaders and Financiers

By Editors | 15/11/2023

Latest coordinated US and UK sanctions target Hamas leadership and financial channels in the Middle East.

Market Abuse

Nasdaq Wins Best Solution Awards for Market and Trade Surveillance

By Editors | 14/11/2023

Nasdaq Market Surveillance was recognised for its real-time, cross-market, cross-asset surveillance technology, which is used by over 65 marketplaces and regulators globally

Sustainable Finance

Asia Wakes Up to Blue Finance Regulation

By David Green | 14/11/2023

Blue finance regulatory frameworks are starting to make ripples as the ocean cause expands its reach to Asia.

Clearing & Post-Trade

Japan FSA Grants QCCP Recognition to TAIFEX

By Manesh Samtani | 13/11/2023

The QCCP recognition will enable Japanese financial institutions to participate in central clearing of OTC derivatives in Taiwan.

Anti-Money Laundering

US Fed Probing Morgan Stanley AML Controls – Report

By Editors | 12/11/2023

The Fed is reported to be assessing whether Morgan Stanley has sufficient controls in place to prevent wealthy foreign customers from laundering money.

Fraud, Scams & Cybercrime

US Unit of China’s ICBC Suffers Ransomware Attack

By Editors | 10/11/2023

The attack disrupted some of ICBC’s systems and left some trades in the US Treasury and equity markets unable to settle.

Fraud, Scams & Cybercrime

US Prosecutors Secure Guilty Plea from OneCoin Executive

By Mark Johnston | 10/11/2023

Irina Dilkinska was in charge of compliance at OneCoin, a global crypto scam that lured investors with false promises of high returns.

Market Data & Technology

DTCC Opens Access to OTC Derivatives Market Data

By Editors | 09/11/2023

“OTC Direct Connect” allows market participants to access OTC derivatives transaction data that are reportable in the US and Canada.

Structural Regulation

US Adds Vietnam to FX Monitoring List, Removes Korea

By Editors | 09/11/2023

US Treasury is monitoring the currency practices and macroeconomic policies of six trading partners, including China, Malaysia, Singapore, and Taiwan.