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Enforcement
US Court Convicts Another JPM Trader on Spoofing Charges
By Editors | 13/12/2022
Former precious metals trader faces up to 30 years in prison for placing deceptive orders intended in COMEX gold and silver futures.
ESG / Sustainability
Vanguard Withdraws from NZAM Alliance Amid Political Pressure
By Editors | 13/12/2022
The move came a day after a senate committee report was released highlighting the outsized influence of the “Big Three” asset managers towards ESG.
Crypto / Digital Assets
US SEC Directs Issuers to Detail Exposures to Crypto and Related Impacts
By Editors | 13/12/2022
Separately, US senators asked banking regulators to provide details on banks that have engaged in crypto-related services.
Press Release
Nasdaq Wins Best Solution in Market & Trade Surveillance
By Editors | 12/12/2022
Nasdaq was awarded best solution in market & trade surveillance at Regulation Asia’s 5th annual awards ceremony.
Market Infrastructure
Japan FSA Finalises New Derivatives Reporting Guidelines
By Editors | 12/12/2022
The guidelines and associated reporting requirements will take effect on 1 April 2024, incorporating the UTI and CDE.
Enforcement
US Sanctions Nasdaq Listed Company, Other ‘Corrupt’ Actors
By Manesh Samtani | 12/12/2022
The sanctions were connected to illegal fishing. The US, UK and Australia also sanctioned dozens of others in recognition of International Anti-Corruption Day and Human Rights Day.
ESG / Sustainability
ESMA Labelling Rules to Complicate Green Fund Market
By ESG Investor | 11/12/2022
Plans to introduce minimum investment thresholds risk creating two types of Article 8 products, says Julia Vergauwen at Linklaters.
Enforcement
US Authorities Fine NYSE-Listed ABB for South Africa Bribes
By Mark Johnston | 10/12/2022
The action was coordinated among US, South African and Swiss authorities. ABB also paid bribery related fines in 2004 and 2010.
Crypto / Digital Assets
US Probes FTX Founder for Suspected Terra Manipulation
By Editors | 09/12/2022
Prosecutors are reportedly looking into whether Sam Bankman-Fried manipulated the prices of TerraUSD and Luna to benefit entities he controlled.
Big Picture
Geopolitical Risk Cited as Top Risk to Financial Industry: DTCC
By Editors | 08/12/2022
The top three threats in DTCC’s latest Systemic Risk Barometer survey were geopolitical risks & trade tensions, inflation, and cyber risk.
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