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United States
Crypto / Digital Assets
North Korean Cyber Actors Targeting Crypto ETFs, FBI Warns
By Nithya Subramanian | 05/09/2024
The FBI has issued an advisory warning of advanced social engineering tactics being used by North Korean hackers to steal crypto assets.
Sanctions
US Sanctions Russian Individuals, Entities for Election Interference
By Editors | 05/09/2024
The DOJ also charged two employees of the Russian-backed media network RT for conspiring to commit money laundering.
Crypto / Digital Assets
US SEC Penalises Fund Adviser Over FTX-Linked Losses
By Nithya Subramanian | 04/09/2024
Galois Capital Management used crypto trading platforms like FTX to hold crypto assets for fund investors instead of qualified custodians.
Sanctions
US Seizes Private Jet Belonging to Venezuelan President
By Editors | 04/09/2024
The DOJ said the jet was illegally purchased in the US and then smuggled to Venezuela, in violation of US export control and sanctions laws.
Enforcement
US SEC Fines Six Rating Agencies for Record Keeping Violations
By Editors | 04/09/2024
Moody’s Investors Service and S&P Global Ratings agreed to pay $20mn, while Fitch Ratings will pay $8mn.
Securities / Derivatives
FINRA Fines BofA & Merrill Lynch $3m for Surveillance Failures
By Nithya Subramanian | 04/09/2024
FINRA said the parameters of the surveillance systems were set too narrowly, leading to failures to detect potentially manipulative trading.
Sanctions
China Payments Becoming Increasingly Difficult for Russia
By Editors | 02/09/2024
Chinese banks are returning payments for goods already shipped; Chinese exporters asking for pre-payments; UAE banks rejecting payments for Russia-China trade.
Crypto / Digital Assets
Nasdaq Seeks Regulatory Approval to Launch Bitcoin Options
By Editors | 31/08/2024
Nasdaq said the options will enable investors to hedge their cryptocurrency investments. NYSE also applied for a similar approval earlier this year.
Securities / Derivatives
US SEC Adopts New Reporting Rules for Investment Funds
By Editors | 31/08/2024
Mutual funds and ETFs will have to report portfolio holdings monthly rather than quarterly. Swing pricing rules weren’t included in the amendments.
Enforcement
CFTC Penalises Nasdaq Futures Over False Disclosures
By Editors | 30/08/2024
Nasdaq Futures, which operated an energy commodity futures market from 2015-2018, did not fully disclose details of an incentive programme.
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