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Reporting & Disclosures
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.
Market Abuse
SEBI Fines NSE, Officials, Brokers in Colocation Case
By Editors | 02/07/2022
SEBI fined the NSE, five officials, Sampark Infotainment, two brokerage firms and nine other individuals connected to the case.
Anti-Money Laundering
Limited Progress Made on Travel Rule Implementation: FATF
By Editors | 01/07/2022
Jurisdictions have made “only limited progress” over the last year to implement the travel rule in the crypto industry, the FATF says.
Cryptocurrency
MAS Reprimands Crypto Hedge Fund Three Arrows Capital
By Editors | 01/07/2022
MAS said Three Arrows Capital exceeded its allowable AUM and gave the regulator a false representation. The company entered into liquidation this week.
Anti-Money Laundering
FATF Seeks Views on Improvements to Recommendation 25
By Editors | 30/06/2022
The review is intended to improve Recommendation 25 and its Interpretive Note to better meet its stated objective to prevent the misuse of legal arrangements.
Anti-Money Laundering
EU Lawmakers Agree on AML Framework for Crypto
By Manesh Samtani | 30/06/2022
Crypto asset service providers will be required to implement customer protection measures and robust AML/CFT safeguards including the travel rule.
Conduct, Culture & Accountability
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.
KYC & CDD
Canadian Banks Collaborate on KYC Utility Project
By Editors | 30/06/2022
The five banks will collaborate with CanDeal Group to create a common data and regulatory experience for the industry.
Conduct, Culture & Accountability
ASIC Wins Appeal Against Payday Lenders Cigno, BHF Solutions
By Editors | 30/06/2022
ASIC is now considering using its broader product intervention powers to address consumer detriment in continuing credit contracts.
Emerging Prudential Risks
SFC Reviewing Market Practices to Guard Against Risk
By Manesh Samtani | 30/06/2022
Reviews underway cover concentration risk in OTC derivatives markets, risk management at futures brokers, and block trading practices.
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