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US SEC Asks Firms to Detail Russia-Related Exposures – Report
By Editors | 01/08/2022
The SEC sought broad information from companies in May but is now asking for more specifics from some firms, including Citi.
ESG / Sustainability
US Treasury Launches Data Hub for Climate Risk Assessments
By Editors | 01/08/2022
The Climate Data and Analytics Hub will enable financial regulators to use data from across the government to assess climate-related financial stability risks.
AML / KYC
Philippine Court Jails Seven Over Investment Scam
By Editors | 28/07/2022
Seven perpetrators of a PHP 3 billion investment scam were sentenced to 20 years in jail each on top of financial penalties. Four others remain at large.
AML / KYC
US Treasury Allows Payouts on Russia Bond CDS
By Editors | 28/07/2022
General licence authorises US persons to participate in auction processes and receive Russian bonds to settle CDS transactions with Russian entities.
AML / KYC
US SEC Issues Fines Over Identity Theft Prevention Programmes
By Editors | 28/07/2022
JP Morgan Securities will pay a $1.2mn penalty, UBS Financial Services will pay $925,000, and TradeStation Securities will pay $425,000.
Securities / Derivatives
Alibaba Unveils Plans to Upgrade Hong Kong Listing Status
By Editors | 27/07/2022
Alibaba is planning to upgrade its secondary listing status in Hong Kong to a primary listing, so that it can qualify for inclusion in Stock Connect and benefit from mainland investment.
Securities / Derivatives
CFTC, SEC Preparing to Tackle More Crypto-related Risks
By Manesh Samtani | 27/07/2022
The CFTC has a new innovation office and is realigning its customer education office. The SEC has appointed 20 new specialists to its crypto unit and wants a bigger budget.
Market Infrastructure
SOFR Academy, Invesco Launch New Credit Spread Indices
By Editors | 26/07/2022
The new indices – known as AXI and FXI – will serve as forward-looking credit spread add-ons for SOFR for use in lending and derivatives markets.
Crypto / Digital Assets
US SEC Plans to Require Registration from Crypto Lending Firms
By Mark Johnston | 26/07/2022
SEC Chair Gary Gensler said many crypto lenders operate investment companies or banks, and that they should have to be registered under securities law.
Securities / Derivatives
SGX, NYSE Agree to Collaborate on Dual Listings
By Editors | 25/07/2022
The agreement also covers the joint development of new ESG, index, and ETF products to address the growing needs of market participants and investors.
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