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United States
Operational Risk
Thai SEC Developing Stress Test for Capital Market Participants
By Mark Johnston | 17/10/2023
The SEC is collaborating with securities firms and asset managers to develop a stress test to assess risks and vulnerabilities in the industry.
AI Risk & Governance
US, Singapore to Deepen Collaboration on Responsible AI Innovation
By Editors | 17/10/2023
The US and Singapore completed a joint mapping exercise to make their AI governance frameworks interoperable.
Clearing & Post-Trade
Regulators in Derivatives Markets Should Sign MOUs: ISDA
By Nithya Subramanian | 16/10/2023
To regulate CDS, the association said that data could be easily accessed from Depository Trust & Clearing Corporation’s Trade Information Warehouse.
Trading & Investment
US SEC Boost Transparency of Short Selling, Securities Lending
By Editors | 16/10/2023
Institutional investment managers will be required to report short positions to the SEC; Companies will have to report securities lending activity to FINRA.
PEPs & Sanctions
OFAC Issues First Sanctions for Breaches of Russia Oil Price Cap
By Editors | 15/10/2023
A new advisory was also released offering recommendations to the maritime industry and related sectors to enhance compliance with the price caps.
Fraud, Scams & Cybercrime
US Regulators File Suit Against Former CEO of Voyager Digital
By Manesh Samtani | 13/10/2023
The CFTC and FTC filed parallel actions alleging Stephen Ehrlich misled customers and caused more than $1bn in losses to Voyager customers.
AI Risk & Governance
SIFMA Urges SEC Not to Adopt Proposed Rules for Predictive Data Analytics
By Mark Johnston | 11/10/2023
SIFMA said the proposed rules would impose unreasonable and unworkable requirements on brokers and advisors and limit their ability to use technology.
KYC & CDD
US SEC Adopts Shorter Deadlines for Reporting Beneficial Ownership
By Editors | 10/10/2023
Investors will be required to report in five days rather than ten days if they beneficially own more than 5 percent of a stock.
PEPs & Sanctions
OFAC Sanctions Target Drug Trafficking, Crypto Abuse – Chainalysis
By Jill Wong | 10/10/2023
OFAC sanctions against several Chinese entities are an important step in preventing crypto abuse by criminal syndicates, Chainalysis says.
Market Abuse
Korean Investors Warned About Illegal Overseas Trading
By Editors | 09/10/2023
The FSC and FSS say there has been a recent increase in the number of foreign investigations involving Korean investors.
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