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Climate Risk
Thai SEC Translates TCFD Recommendations for Local Firms
By Sanday Chongo Kabange | 26/10/2023
The move is intended to help listed companies, investment analysts and asset managers better understand climate-related financial disclosures.
Liquidity Risk
Regulatory Responses to This Year’s Bank Failures
By Sebastian Sohn | 26/10/2023
Sebastian Sohn discusses the lessons learned from bank failures this year and the supervisory and regulatory changes we can expect as a result.
Structural Regulation
US, China Hold First Meetings of New Working Groups
By Mark Johnston | 25/10/2023
The US “frankly raised” areas of concern at the first economic and financial working group meetings with Chinese officials.
Conduct, Culture & Accountability
US SEC Fines BlackRock Unit Over Inaccurate Investment Descriptions
By Editors | 25/10/2023
BlackRock Advisors LLC incorrectly described a company that a fund it advised invested in and the interest rate the investment paid.
Climate Risk
US Finalises Climate Risk Framework for Large Banks
By Manesh Samtani | 25/10/2023
The framework comprises a set of principles that are substantively similar to those proposed in December 2022.
Data Privacy
US CFPB Proposes Rule to Implement Open Banking
By Editors | 23/10/2023
The CFPB says the proposed rule would allow consumers to “break up” with banks that provide bad service and forbid companies from misusing personal financial data.
PEPs & Sanctions
China Imposes Exports Controls on Graphite Products
By Editors | 23/10/2023
China dominates global supply chains for graphite, a key material used in electric vehicle batteries.
Anti-Money Laundering
FinCEN Issues Alert to Counter Hamas Financing Activities
By Editors | 23/10/2023
The alert contains red flags that FinCEN has identified to help detect, prevent, and report potential suspicious activity related to Hamas’ terrorist financing activity.
Anti-Money Laundering
Germany’s BaFin Fines Deutsche Bank for STR Filing Delays
By Editors | 23/10/2023
BaFin said Deutsche Bank submitted suspicious transaction reports to the FIU “with a delay”.
Cryptocurrency
US SEC Drops Lawsuit Against Ripple Executives
By Editors | 22/10/2023
Analysts say the move will ultimately allow the SEC to appeal the court’s earlier decision about XRP not being a security sooner.
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