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Enforcement
US Charges Chinese “Agents” for Obstructing Huawei Probe
By Editors | 26/10/2022
The two defendants are accused of trying to bribe a US official to obtain inside information about the criminal case against Huawei.
Securities / Derivatives
CFTC Re-Grants Certification TAIEX and Mini-TAIEX Futures
By Editors | 26/10/2022
CFTC certification allows US participants to trade TAIEX Futures and Mini-TAIEX Futures through eligible brokers.
ESG / Sustainability
FCA Proposes Three New Green Labels for UK Funds
By ESG Investor | 26/10/2022
The FCA has published its much-anticipated consultation outlining measures to tackle greenwashing.
ESG / Sustainability
Texas, Arizona Lawsuits Target Big Bank Climate Pledges
By Editors | 26/10/2022
The lawsuits take aim at Goldman Sachs, JPMorgan Chase, Bank of America, Wells Fargo, Citigroup, and Morgan Stanley.
Enforcement
US Treasury Issues CFIUS Enforcement and Penalty Guidelines
By Editors | 26/10/2022
The guidelines describe three categories of conduct that may constitute a violation of foreign investment laws and regulations, and how penalties may be imposed.
Enforcement
Credit Suisse Clears Litigation Docket Ahead of Overhaul
By Editors | 25/10/2022
Credit Suisse has been cleared of FX rigging charges and settled separate cases with French and US prosecutors.
Securities / Derivatives
Thai SEC to Improve Efficiency of Private Placements
By Editors | 25/10/2022
The SEC proposes to scrap requirements for firms to seek approval for private placement offerings, provided other investor protections are in place.
Fintech / Regtech
Thai SEC, DFSA Sign MOU on Fintech, Innovation Cooperation
By Editors | 25/10/2022
The agreement will help to promote cooperation on financial services regulation and fintech and regtech innovations.
Securities / Derivatives
Nasdaq Halts At Least Four Chinese IPOs – Report
By Editors | 24/10/2022
Nasdaq will reportedly not allow certain IPOs to proceed until it can address concerns about large stock rallies seen by some Chinese issuers.
Crypto / Digital Assets
US Tax Filing Instructions Amendments Includes NFT Reference
By Editors | 24/10/2022
The new language obliged individual taxpayers to report income received from disposals of NFTs, as well as any other “digital asset”.
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