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United States
Capital / Liquidity
Thai SEC Developing Stress Test for Capital Market Participants
By Mark Johnston | 17/10/2023
The SEC is collaborating with securities firms and asset managers to develop a stress test to assess risks and vulnerabilities in the industry.
Fintech / Regtech
US, Singapore to Deepen Collaboration on Responsible AI Innovation
By Editors | 17/10/2023
The US and Singapore completed a joint mapping exercise to make their AI governance frameworks interoperable.
Capital / Liquidity
Regulators in Derivatives Markets Should Sign MOUs: ISDA
By Nithya Subramanian | 16/10/2023
To regulate CDS, the association said that data could be easily accessed from Depository Trust & Clearing Corporation’s Trade Information Warehouse.
Securities / Derivatives
US SEC Boost Transparency of Short Selling, Securities Lending
By Editors | 16/10/2023
Institutional investment managers will be required to report short positions to the SEC; Companies will have to report securities lending activity to FINRA.
Sanctions
OFAC Issues First Sanctions for Breaches of Russia Oil Price Cap
By Editors | 15/10/2023
A new advisory was also released offering recommendations to the maritime industry and related sectors to enhance compliance with the price caps.
Crypto / Digital Assets
US Regulators File Suit Against Former CEO of Voyager Digital
By Manesh Samtani | 13/10/2023
The CFTC and FTC filed parallel actions alleging Stephen Ehrlich misled customers and caused more than $1bn in losses to Voyager customers.
Fintech / Regtech
SIFMA Urges SEC Not to Adopt Proposed Rules for Predictive Data Analytics
By Mark Johnston | 11/10/2023
SIFMA said the proposed rules would impose unreasonable and unworkable requirements on brokers and advisors and limit their ability to use technology.
AML / KYC
US SEC Adopts Shorter Deadlines for Reporting Beneficial Ownership
By Editors | 10/10/2023
Investors will be required to report in five days rather than ten days if they beneficially own more than 5 percent of a stock.
Sanctions
OFAC Sanctions Target Drug Trafficking, Crypto Abuse – Chainalysis
By Jill Wong | 10/10/2023
OFAC sanctions against several Chinese entities are an important step in preventing crypto abuse by criminal syndicates, Chainalysis says.
Enforcement
Korean Investors Warned About Illegal Overseas Trading
By Editors | 09/10/2023
The FSC and FSS say there has been a recent increase in the number of foreign investigations involving Korean investors.
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