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United States
Conduct, Culture & Accountability
US Regulators Impose Record-keeping Penalties on 13 More Firms
By Manesh Samtani | 25/09/2024
The SEC fined broker-dealers and investment advisers a combined $88mn. The CFTC fined two firms a total $32mn.
Capital Adequacy
US Fed’s Basel III Plan Faces Pushback From FDIC – Report
By Mark Johnston | 24/09/2024
Fed Vice Chair Michael Barr’s proposal has been met with resistance from at least three FDIC directors.
PEPs & Sanctions
US Arrests Russian Man for Illicit Microelectronics Exports
By Editors | 23/09/2024
Several Hong Kong companies were used to purchase microelectronics from US distributors and export them to Russia.
PEPs & Sanctions
Lebanese Man Pleads Guilty to Sanctions Evasion Conspiracy
By Editors | 23/09/2024
The man, designated as a specially designated global terrorist in May 2018, pleaded guilty to a conspiracy charge and agreed to forfeit $830,000.
Structural Regulation
Thai SEC Issues Market Entry Guidelines for Foreign Firms
By Editors | 23/09/2024
The SEC said it will fast-track the licence approval process to better facilitate the entry of qualified foreign businesses into the Thai market.
Trading & Investment
CFTC Finalises Guidance for Listing Carbon Credit Derivatives
By Editors | 23/09/2024
The CFTC said the guidance will help to promote standardisation of VCC derivative products in a manner that “promotes transparency and liquidity”.
Trading & Investment
US SEC Adopts Market Reforms, Including Lower Tick Sizes
By Editors | 21/09/2024
SEC Chair Gary Gensler said the reforms will help promote greater transparency, competition, fairness, and efficiency in the equity market.
Market Abuse
US SEC Fines Macquarie Unit $80m for Overvalued CMOs
By Nithya Subramanian | 20/09/2024
The Macquarie unit overvalued odd lot CMO positions and then executed cross trades to push the resulting losses to retail funds.
PEPs & Sanctions
OFAC Targets Russia-DPRK Sanctions Evasion Network
By Editors | 20/09/2024
New sanctions have been imposed on five entities and an individual for helping to establish payment mechanisms between Russia and North Korea.
PEPs & Sanctions
Armenia Accused of Facilitating Russian Sanctions Evasion
By Editors | 20/09/2024
NGOs from Azerbaijan claim that several EU countries including Greece and Cyprus are continuing to conduct trade with Russia through Armenia.
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