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Enforcement
US Ruling Calls Into Question Key SEC Enforcement Mechanism
By Editors | 12/06/2022
The Fifth Circuit court ruled that the SEC’s use of in-house administrative law judges deprived the petitioners of the right to a jury trial.
Securities / Derivatives
US SEC Unveils Plans to Address Payment for Order Flow
By Manesh Samtani | 10/06/2022
Brokers will have to send orders from retail investors to “open and transparent” auctions and meet stronger best execution obligations.
Crypto / Digital Assets
NYDFS Issues Regulatory Guidance for Stablecoin Issuers
By Editors | 09/06/2022
The guidance outlines criteria specifically addressing stablecoin redeemability, asset reserve requirements, and independent audit requirements.
Crypto / Digital Assets
US SEC Reportedly Probing Binance 2017 Token Offering
By Editors | 09/06/2022
The SEC is also investigating market making companies owned by Binance’s CEO and whether company insiders may have engaged in trading abuses.
AML / KYC
DOJ Calls for Stronger International Cooperation on Crypto Crime
By Editors | 08/06/2022
The paper says the US should help foreign nations develop the tools, technical expertise, and infrastructure necessary to conduct complex crypto-related investigations.
Crypto / Digital Assets
US Senators Propose Regulatory Framework for Crypto Assets
By Manesh Samtani | 08/06/2022
The CFTC would be granted authority over crypto spot markets, based on the understanding that “most digital assets are more similar to commodities than securities”.
ESG / Sustainability
CFTC Consults on Climate Impacts to Derivatives, Commodities
By Editors | 07/06/2022
The CFTC may use the information collected to inform actions such as the issuance of new or amended guidance, interpretations, policy statements, or regulations.
Big Picture
ESG Ratings Diverge Substantially, with Real-Economy Impact
By ESG Investor | 04/06/2022
Analysis across KLD, Sustainalytics, Moody’s ESG, S&P Global, Refinitiv and MSCI finds significant differences in how indicators are measured.
Crypto / Digital Assets
CFTC Files Suit Against Winklevoss-founded Crypto Exchange
By Editors | 03/06/2022
The CFTC says Gemini misled the regulator about whether it could prevent manipulation in the prices used as a benchmark for a bitcoin futures contract.
AML / KYC
US to Seek New UN Sanctions if DPRK Tests Nuclear Weapon
By Editors | 03/06/2022
The US tried to impose new UN sanctions on North Korea last week but the resolution was vetoed by China and Russia.
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