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Securities / Derivatives
ICE Opens Access Centres in Hong Kong, Shanghai, Tokyo
By Editors | 18/12/2022
ICE says the enhanced connectivity includes ultra-low-latency access to exchanges in Hong Kong, Shanghai and Tokyo.
AML / KYC
FinCEN Proposes Rules on Access to Beneficial Ownership Information
By Editors | 18/12/2022
The proposed rule also sets out requirements for institutions to have systems and controls to securely store beneficial ownership information and limit its access.
Enforcement
US SEC, DOJ Charge Social Media Influencers for Securities Fraud
By Mark Johnston | 18/12/2022
Eight individuals are accused of engaging in a conspiracy to commit securities fraud through a social media-based “pump and dump” scheme.
Market Infrastructure
US SEC Proposes Major Rule Changes to Improve Market Fairness
By Editors | 18/12/2022
The proposals include a new best execution regulatory framework, a new order competition rule, and requirements for brokers to provide better disclosures on execution quality.
Market Infrastructure
US Regulators Deem Audit Inspections of Chinese Firms a Success
By Manesh Samtani | 16/12/2022
The PCAOB did identify some deficiencies in their inspection work, but it was able to view complete audit work papers with no redactions.
Market Infrastructure
NYSE, Nasdaq Expected to See More Capital Raises via Direct Listings
By Mark Johnston | 16/12/2022
The SEC is expected to permit the NYSE to ease its rules for direct listings, after a similar approval was granted to Nasdaq earlier this month.
AML / KYC
Danske Bank to Pay $2bn to Resolve DOJ, SEC Probes
By Sanday Chongo Kabange | 15/12/2022
Danske Bank admitted to allowing high-risk non-resident customers from other countries including Russia to use its Estonia branch to access US banks.
Sanctions
China Files WTO Complaint Over Semiconductor Export Controls
By Editors | 14/12/2022
China is separately working on a CNY 1 trillion support package to expand domestic semiconductor production and research activities.
AML / KYC
FTX Founder Arrested, Charged by SEC, SDNY, CFTC
By Sanday Chongo Kabange | 14/12/2022
US authorities have charged Sam Bankman-Fried for defrauding customers, investors, lenders, and campaign finance violations.
AML / KYC
UK Police Arrest Chinese Tycoon on US Bribery Charges
By Editors | 14/12/2022
The co-chairman of Chinese real estate firm Guangzhou R&F Properties is accused of paying bribes to San Francisco authorities from 2015 through 2020.
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