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United States
Capital / Liquidity
US Banks Call for Release of Evidence to Support Basel Proposal
By Editors | 13/09/2023
Prominent banking associations are demanding the release of the data and analysis to support changes to capital requirements for large banks.
Enforcement
US SEC Charges Virtu For Not Protecting Confidential Customer Data
By Manesh Samtani | 13/09/2023
Virtu describes the lawsuit as retaliation for the company’s public criticism of the SEC’s market structure rule proposals.
Enforcement
Thai SEC Charges Four Brokerage Execs for Stock Manipulation
By Mark Johnston | 13/09/2023
Criminal charges were filed against four executives of a brokerage firm, including its CEO, for manipulating prices during a 2018 IPO.
Market Infrastructure
CME, DTCC Receive Approval for Cross-Margining Arrangement
By Editors | 13/09/2023
The arrangement will enable capital efficiencies for clearing members that trade and clear both US Treasury securities and CME Group interest rate futures.
Crypto / Digital Assets
JPMorgan Seeks Regulatory Approval to Launch ‘Digital Deposit Token’
By Editors | 13/09/2023
The deposit token would represent a digital claim against a commercial bank deposit, and could be used for instant payments and settlements across the financial system.
ESG / Sustainability
Sri Lanka Revises Corporate Governance Rules for Listed Companies
By Duruthu E Chandrasekera | 12/09/2023
The revisions will help to build investor confidence and better align corporate governance practices in Sri Lanka with international standards.
AML / KYC
CFTC Commissioner Calls for Creation of National Financial Fraud Registry
By Sanday Chongo Kabange | 12/09/2023
Commissioner Christy Goldsmith Romero says a centralised national financial fraud registry would enable the public to protect themselves from fraudsters.
Sanctions
FinCEN Sheds Light on Cases of Export Control Evasion
By Editors | 11/09/2023
SAR filings reveal that a network of China- and Hong Kong-based entities may be providing support to Russia’s military and/or defense industrial base.
AML / KYC
No Place to Hide: US Court Upholds Sanctions on Decentralised Crypto Platform
By James Gillespie | 11/09/2023
RUSI’s James Gillespie discusses what the Tornado Cash case means for holding DeFi platforms accountable under AML and sanctions laws.
Enforcement
CFTC Penalises Three DeFi Operators for Offering Services Illegally
By Editors | 11/09/2023
Commissioner Summer Mersinger dissented with the orders saying the CFTC should instead be engaging with the public on these matters.
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