United States

Press Release

Nasdaq Wins Best Solution Awards for Market and Trade Surveillance

By Editors | 14/11/2023

Nasdaq Market Surveillance was recognised for its real-time, cross-market, cross-asset surveillance technology, which is used by over 65 marketplaces and regulators globally

ESG / Sustainability

Asia Wakes Up to Blue Finance Regulation

By David Green | 14/11/2023

Blue finance regulatory frameworks are starting to make ripples as the ocean cause expands its reach to Asia.

Securities / Derivatives

Japan FSA Grants QCCP Recognition to TAIFEX

By Manesh Samtani | 13/11/2023

The QCCP recognition will enable Japanese financial institutions to participate in central clearing of OTC derivatives in Taiwan.

AML / KYC

US Fed Probing Morgan Stanley AML Controls – Report

By Editors | 12/11/2023

The Fed is reported to be assessing whether Morgan Stanley has sufficient controls in place to prevent wealthy foreign customers from laundering money.

Market Infrastructure

US Unit of China’s ICBC Suffers Ransomware Attack

By Editors | 10/11/2023

The attack disrupted some of ICBC’s systems and left some trades in the US Treasury and equity markets unable to settle.

Enforcement

US Prosecutors Secure Guilty Plea from OneCoin Executive

By Mark Johnston | 10/11/2023

Irina Dilkinska was in charge of compliance at OneCoin, a global crypto scam that lured investors with false promises of high returns.

Market Infrastructure

DTCC Opens Access to OTC Derivatives Market Data

By Editors | 09/11/2023

“OTC Direct Connect” allows market participants to access OTC derivatives transaction data that are reportable in the US and Canada.

Market Infrastructure

US Adds Vietnam to FX Monitoring List, Removes Korea

By Editors | 09/11/2023

US Treasury is monitoring the currency practices and macroeconomic policies of six trading partners, including China, Malaysia, Singapore, and Taiwan.

AML / KYC

FinCEN Finalises Rule on Use of FinCEN Identifiers in BOI Reporting

By Editors | 08/11/2023

Beneficial owners of numerous reporting companies would be able to use FinCEN identifiers to simplify the reporting process and for data security purposes.