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Conduct, Culture & Accountability
Zambia Sanctions StanChart for Mis-selling China Property Bond
By Mark Johnston | 16/01/2025
Zambia’s SEC said Standard Chartered failed to disclose material information and used contract clauses which placed all responsibility for risk on clients
Cryptocurrency
US Appeals Court Orders SEC to Explain Denial of Coinbase Petition
By Thisanka Siripala | 15/01/2025
The court said the SEC must provide a more complete explanation for its decision but did not order it to undertake a rulemaking process
Structural Regulation
Philippine SEC Directs Listed Firms to Disclose Auditor Fees
By Sanday Chongo Kabange | 15/01/2025
Listed firms must disclose the fees paid to external auditors in their annual financial statements for the period ending 31 December 2024, and thereafter.
Trading & Investment
SEC and ThaiBMA Release Updated Sample Bond Terms
By Editors | 14/01/2025
The revision reflects revised regulations on the issuance and offering of bonds and measure to enhance the effectiveness of the bondholders’ representative
PEPs & Sanctions
OFAC, OFSI Publish MOU on Sanctions Cooperation
By Manesh Samtani | 14/01/2025
The MOU aims to foster greater alignment in sanctions enforcement by facilitating secure and collaborative information sharing.
Supervision & Enforcement
US SEC Fines 14 More Firms for Record-keeping Violations
By Thisanka Siripala | 14/01/2025
The latest penalties were imposed on units of Robinhood, Blackstone, Apollo, KKR, Charles Schwab, Santander and others.
Anti-Money Laundering
US Grand Jury Indicts Three Russians Who Operated Crypto Mixers
By Manesh Samtani | 14/01/2025
The defendants operated Blender.io and Sinbad.io, which were used to launder funds stolen from victims of ransomware, virtual currency thefts, and other crimes.
Structural Regulation
Claim Amount Quadruples in Lawsuit Over Credit Suisse AT1 Writedown
By Thisanka Siripala | 14/01/2025
An amended complaint filed in New York adds 39 plaintiffs including AllianceBernstein and a subsidiary of Japan’s Nomura Holdings
Supervision & Enforcement
US Gives Estonia $50m for its Help in Danske Bank Case
By Nithya Subramanian | 13/01/2025
Estonia will use the funds to combat financial crime, enhance asset recovery, and provide specialised training across the Baltic States and Nordic region
PEPs & Sanctions
US Imposes “Most Significant Sanctions Yet” on Russia’s Energy Sector
By Editors | 13/01/2025
Treasury targeted 183 vessels and more than 150 entities. The State Department sanctioned nearly 80 entities and individuals.
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