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Enforcement
New York Court Dismisses Tom Hayes LIBOR Rigging Case
By Editors | 01/11/2022
US prosecutors had filed a motion to dismiss the case after two other traders were acquitted in January. Hayes is still trying to get his UK conviction overturned.
ESG / Sustainability
GFANZ ‘Quiet Quits’ Race to Net Zero
By ESG Investor | 30/10/2022
The GFANZ 2022 progress report appeared to confirm the alliance’s intention to allow member groups to set their own path to net zero.
Securities / Derivatives
US SEC Finalises Clawback Rule on Erroneously Paid Compensation
By Editors | 30/10/2022
The rule will require issuers to develop and implement a clawback policy for compensation that was erroneously awarded based on incorrect financial statements.
Securities / Derivatives
CFTC Grants Exemptions to Three More Singapore RMOs
By Editors | 27/10/2022
The CFTC granted SEF registration exemptions to Bloomberg Tradebook Singapore, SGX FX Markets (BidFX), and Synoption.
ESG / Sustainability
More Bumps in the Road for US Climate Rule After SEC Glitch
By ESG Investor | 27/10/2022
Concerns over costs and legal challenges lie ahead, as deadline for new disclosure rule slips.
AML / KYC
NLP for Regulatory Compliance: A Question of When, Not If
By Irene Liu | 27/10/2022
Accenture’s Irene Liu and team discuss the use of NLP technology within compliance functions, as well as the adoption challenges and how to address them.
Enforcement
US Charges Chinese “Agents” for Obstructing Huawei Probe
By Editors | 26/10/2022
The two defendants are accused of trying to bribe a US official to obtain inside information about the criminal case against Huawei.
Securities / Derivatives
CFTC Re-Grants Certification TAIEX and Mini-TAIEX Futures
By Editors | 26/10/2022
CFTC certification allows US participants to trade TAIEX Futures and Mini-TAIEX Futures through eligible brokers.
ESG / Sustainability
FCA Proposes Three New Green Labels for UK Funds
By ESG Investor | 26/10/2022
The FCA has published its much-anticipated consultation outlining measures to tackle greenwashing.
ESG / Sustainability
Texas, Arizona Lawsuits Target Big Bank Climate Pledges
By Editors | 26/10/2022
The lawsuits take aim at Goldman Sachs, JPMorgan Chase, Bank of America, Wells Fargo, Citigroup, and Morgan Stanley.
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