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Crypto / Digital Assets
IOSCO Outlines Planned Work to Address Crypto Market Risks
By Editors | 07/07/2022
The roadmap will initially focus IOSCO’s Fintech Taskforce on work to analyse and respond to market integrity and investor protection concerns.
Enforcement
CFTC Fines BNP, JPM for Swap Reporting Violations
By Editors | 06/07/2022
BNP Paribas agreed to pay USD 6 million for failing to correctly report over three million swap transactions. JPMorgan was fined USD 850,000.
Enforcement
Former Archegos Employee Sues Firm Over Deferred Bonuses
By Manesh Samtani | 06/07/2022
Archegos employees were “coerced” to invest their bonus money into the firm through a deferred compensation plan, which evaporated when the company collapsed last March.
Crypto / Digital Assets
Crypto Hedge Fund Three Arrows Capital Files for Bankruptcy
By Manesh Samtani | 05/07/2022
The bankruptcy filing came three days after Three Arrows entered into liquidation in the British Virgin Islands.
AML / KYC
US Bill Set to Bring Gatekeepers into Scope of AML Rules
By Editors | 05/07/2022
The Enablers Act would require financial advisers, lawyers, art and antiquities traders to perform due diligence on their clients and file SARs.
Enforcement
US DOJ Files Charges Against Six Individuals Over Crypto Frauds
By Editors | 04/07/2022
Criminal charges were filed in four separate cases of alleged crypto-related fraud, including the largest known NFT scheme charged to date.
Market Infrastructure
US Fed Delays ISO 20022 Implementation Until March 2025
By Editors | 03/07/2022
ISO 20022 implementation for the Fedwire Funds Service is being delayed to prioritise the launch of the new FedNow Service.
Enforcement
Tougher Enforcement, Regulation on ESG Funds a “Wake-up Call”
By ESG Investor | 03/07/2022
DWS whistle-blower Desiree Fixler welcomes enforcement action as necessary to deal with greenwashing.
Fintech / Regtech
Thai SEC Launches Open Data Portal to Enhance Transparency
By Editors | 30/06/2022
The data centre provides information on business operators, licensed individuals, and the products available – including digital assets.
Enforcement
US SEC Fines EY for Employee Cheating on CPA Exams
By Editors | 30/06/2022
The settlement is largest penalty the SEC has ever imposed against an audit firm, double KPMG’s 2019 penalty.
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