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United States
Securities / Derivatives
Thai Bourse to Study Benefits of Programme Trading – Report
By Editors | 28/11/2023
The SEC asked the SET to study the use of trading programmes and high-frequency trading and submit the results to the regulator.
Crypto / Digital Assets
Philippine SEC to Ban Unregistered Foreign Trading Platforms
By Sanday Chongo Kabange | 28/11/2023
The SEC is planning to ban online stock and crypto trading platforms that are not registered to operate in the Philippines.
Crypto / Digital Assets
HK SFC Under Fresh Scrutiny Over Crypto Platform Hounax
By Sanday Chongo Kabange | 28/11/2023
The SFC is being accused of playing a “passive role” by not blocking suspicious crypto trading platform Hounax and preventing it from contacting the public.
AML / KYC
13 FIUs Establish Task Force to Disrupt Terrorist Financing
By Editors | 28/11/2023
The FIUs including FinCEN, UKFIU, AUSTRAC, and NZFIU established the task force last month but is publicly recognising its formation now.
Crypto / Digital Assets
Montenegro Court Approves Extradition of Terra Founder
By Mark Johnston | 27/11/2023
The court said both South Korea and the US have met Montenegro’s legal requirements for Do Kwon’s extradition.
Enforcement
Binance Founder Allowed to Return to UAE Until Sentencing
By Mark Johnston | 24/11/2023
The DOJ has appealed the decision to allow Changpeng Zhao to leave the US until sentencing on 23 February 2024.
Enforcement
US Jury Convicts Two Individuals for Attempting to Export Iranian Oil to China
By Editors | 23/11/2023
The individuals were accused of conspiring to violate US sanctions through a scheme to sell Iranian-origin petroleum to a Chinese buyer via shell companies.
Sanctions
FinCEN Hosts US Banks for Discussion on Russian Export Controls Evasion
By Editors | 23/11/2023
Readout from FinCEN forum includes a list of guidance documents to help financial institutions detect and report transactions related to suspected export controls evasion.
Securities / Derivatives
Thai SEC Directs Stock Exchange to Tighten Short Selling Rules
By Mark Johnston | 23/11/2023
The regulator asked the SET to enforce stricter rules on short selling transactions, amid concerns of naked short selling in the market.
Enforcement
Crypto Firm Bittrex Global Announces Decision to Cease Operations
By Sanday Chongo Kabange | 22/11/2023
While Bittrex Global did not specify a reason for the decision, regulatory uncertainty is seen as the biggest factor.
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