United States

Market Infrastructure

CFTC Extends Swap Reporting Relief for Non-US Dealers

By Editors | 02/11/2022

The no-action relief, initially granted in December 2013, was due to expire by 1 December 2022, but has been extended to 1 December 2025.

Crypto / Digital Assets

US DOJ Resolves Dispute with Google Over BTC-e Data

By Editors | 02/11/2022

Crypto exchange BTC-e was shut down in 2017 for alleged money laundering. At the time, US authorities were unable to obtain data from Google for the investigation because it was held overseas.

Partner Content

Nasdaq 2022 Global Compliance Survey

By Nasdaq | 02/11/2022

In the latest iteration of Nasdaq’s Global Compliance Survey (GCS), released annually since 2015, feedback was gathered from financial industry compliance professionals to provide both a point in time analysis of current compliance and surveillance related issues, as well as year over year trend analysis of the perceptions and state of surveillance globally.

Enforcement

New York Court Dismisses Tom Hayes LIBOR Rigging Case

By Editors | 01/11/2022

US prosecutors had filed a motion to dismiss the case after two other traders were acquitted in January. Hayes is still trying to get his UK conviction overturned.

ESG / Sustainability

GFANZ ‘Quiet Quits’ Race to Net Zero

By ESG Investor | 30/10/2022

The GFANZ 2022 progress report appeared to confirm the alliance’s intention to allow member groups to set their own path to net zero.

Securities / Derivatives

US SEC Finalises Clawback Rule on Erroneously Paid Compensation

By Editors | 30/10/2022

The rule will require issuers to develop and implement a clawback policy for compensation that was erroneously awarded based on incorrect financial statements.

Securities / Derivatives

CFTC Grants Exemptions to Three More Singapore RMOs

By Editors | 27/10/2022

The CFTC granted SEF registration exemptions to Bloomberg Tradebook Singapore, SGX FX Markets (BidFX), and Synoption.

ESG / Sustainability

More Bumps in the Road for US Climate Rule After SEC Glitch

By ESG Investor | 27/10/2022

Concerns over costs and legal challenges lie ahead, as deadline for new disclosure rule slips.

AML / KYC

NLP for Regulatory Compliance: A Question of When, Not If

By Irene Liu | 27/10/2022

Accenture’s Irene Liu and team discuss the use of NLP technology within compliance functions, as well as the adoption challenges and how to address them.