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United States
Securities / Derivatives
Founder of Hindenburg Research Announces Decision to Shut Down
By Nithya Subramanian | 19/01/2025
Nate Anderson said that Hindenburg Research’s work led to nearly 100 individuals being charged civilly or criminally by regulators.
Sanctions
US Bolsters Export Controls Ahead of Presidential Transition
By Manesh Samtani | 19/01/2025
The export controls target advanced chips, laboratory instruments, and automotive hardware and software from China. 26 firms added to Entity List.
Enforcement
FDIC Sues Former SVB Executives for Gross Negligence
By Thisanka Siripala | 18/01/2025
The FDIC says SVB’s management ignored fundamental banking standards and the bank’s own risk policies “in pursuit of short-term profit”.
Enforcement
Equifax Fined $15m Over Mishandled Consumer Disputes
By Nithya Subramanian | 18/01/2025
The CFPB said Equifax repeatedly failed to address consumer complaints about inaccuracies on their credit reports.
Sanctions
US Announces Final Russia Sanctions of Biden Administration
By Editors | 18/01/2025
The US re-designated almost 100 entities so it has the power to impose secondary sanctions on foreign persons, including foreign FIs, that do business with them
Enforcement
US SEC Fines Wells Fargo, Merrill Lynch Over Cash Sweep Programmes
By Nithya Subramanian | 17/01/2025
The Wells Fargo and Merrill Lynch units will pay $60mn for prioritising their own financial benefits over clients’ best interests.
Fintech / Regtech
Outgoing US President Signs Executive Order on Cybersecurity
By Thisanka Siripala | 17/01/2025
The executive order is aimed at strengthening US cybersecurity infrastructure and improving accountability among software vendors
Enforcement
US OCC Fines Three Former Wells Fargo Execs for Misconduct
By Thisanka Siripala | 17/01/2025
The OCC’s penalties conclude enforcement proceedings against the last of 11 individuals involved in the fake-accounts scandal.
Crypto / Digital Assets
US, Japan, S Korea Issue Joint Warning Over DRPK Crypto Thefts
By Thisanka Siripala | 17/01/2025
North Korea’s cyber programme threatens the integrity and stability of the international financial system, the joint statement says
Fintech / Regtech
JSCC to Adopt Standardised Framework for Regulatory Reporting
By Thisanka Siripala | 17/01/2025
JSCC will start using ISDA’s Digital Regulatory Reporting for reporting to the FSA and CFTC starting in June.
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