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United States
Securities / Derivatives
US SEC Enhances Disclosures on Order Execution Quality
By Editors | 08/03/2024
The amendments for the first time enable customers of larger broker-dealers to gain access to direct information about aggregate execution quality.
Sanctions
US Authorities Explain Sanctions Obligations of Non-US Persons
By Manesh Samtani | 07/03/2024
DOJ, OFAC, and Commerce Department explain their enforcement authority and provide examples of actions already taken against non-US-based parties.
Crypto / Digital Assets
US SEC Secures $275,000 Settlement from Crypto Firm ShapeShift
By Editors | 07/03/2024
SEC Commissioners Hester Peirce and Mark Uyeda issued a joint statement expressing disagreement with the enforcement action.
Sanctions
OFAC Sanctions Two More Vessels for Supporting Houthis
By Editors | 07/03/2024
The sanctions also target Hong Kong-based and Marshall Islands-based companies, which own the two vessels.
ESG / Sustainability
US SEC Adopts Mandatory Climate Disclosure Rules
By Manesh Samtani | 07/03/2024
The final rules allow large companies to report Scope 1 and 2 emissions only if they are material, and remove requirements to also disclose Scope 3 emissions.
ESG / Sustainability
Philippine SEC Adopts Sustainable Finance Taxonomy
By Sanday Chongo Kabange | 06/03/2024
The SEC said issuers of securities should refer to the taxonomy when making investment decisions or designing sustainable financial products and services.
Crypto / Digital Assets
Montenegro Court Halts Extradition of Terra’s Do Kwon to US
By Sanday Chongo Kabange | 06/03/2024
Do Kwon’s case will be retried because of procedural issues over who between the US and South Korea was first to request his extradition.
Sanctions
OFAC Sanctions Members of Spyware Consortium
By Editors | 06/03/2024
The consortium’s spyware and surveillance tools were used to target US officials, journalists, and policy experts.
Sanctions
US Sanctions Zimbabwe’s President, Other Officials
By Editors | 05/03/2024
The sanctions were issued under the Magnitsky programme. The Zimbabwe Sanctions Regulations have been terminated.
Enforcement
US Secures $661m Settlement from Swiss Oil Trader for FCPA Violations
By Manesh Samtani | 04/03/2024
Over a nearly a decade, Gunvor Group paid more than $97mn to secure business from Ecuador, generating $384mn in illicit profits.
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