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United States
Sanctions
US Sanctions Entities Linked to Iranian Drone Production
By Editors | 23/09/2023
The sanctions target entities in Iran, China, Russia, and Turkey for aiding the production, maintenance, and procurement of drones and military aircraft by Iran.
Crypto / Digital Assets
Thai Digital Assets Exchange Set to Launch First Investment Token
By Editors | 22/09/2023
The investment token is backed by three Bangkok luxury condominium projects. The ICO raised about THB 2.4 billion (USD 67 million).
Securities / Derivatives
US SEC Adopts Amendments to Fund Naming Rules
By Editors | 21/09/2023
The new rules will help ensure that a fund’s portfolio aligns with a fund’s name and help to better protect investors, said SEC chair Gary Gensler.
Securities / Derivatives
Sri Lanka SEC Calls on Stockbroking Firms to Improve Governance
By Duruthu E Chandrasekera | 20/09/2023
SEC chairman asked brokerage firms to improve their understanding of compliance requirements and invest more in technology and infrastructure.
Four Jurisdictions “Slow” on Approvals for UBS-Credit Suisse Merger
By Editors | 20/09/2023
Internal UBS document says uncooperative regulators could jeopardise the timeline of the merger as well as other related transactions.
Crypto / Digital Assets
NYDFS Proposes Enhanced Requirements for Crypto Token Listings
By Manesh Samtani | 20/09/2023
Licensees will have to board-approved policies for listing and delisting coins. NYDFS asks firms to start drafting their coin-delisting policies now.
Enforcement
US SEC Charges NY Investment Firm for Advising Russian Oligarch
By Sanday Chongo Kabange | 19/09/2023
The SEC charged Concord Management and its owner for failing to register as investment advisers while advising a sanctioned Russian oligarch.
ESG / Sustainability
US Treasury Publishes Net Zero Guidance for Financial Institutions
By Editors | 19/09/2023
Adherence will help promote consistency and credibility in how financial institutions implement their net-zero commitments, Treasury said.
Enforcement
US Court Jails Former Deutsche Bank Exec for Crypto Fraud
By Mark Johnston | 19/09/2023
Rashawn Russell, who operated a fake cryptocurrency investment fund and an identity theft scheme, was sentenced to 30 years in prison.
Sanctions
OFAC Sanctions Iran’s Former President, Intelligence Ministry
By Editors | 19/09/2023
The sanctions were announced after the completion of a prisoner swap, which saw five US citizens released from Iranian detention.
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