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LATEST NEWS
Securities / Derivatives
US SEC to Prohibit Conflicts of Interest in Securitisation Transactions
By Editors | 27/01/2023
The rule, first proposed in 2011 but never finalised, will prohibit firms participating in asset-backed securities from betting against investors in those securities.
AML / KYC
German Prosecutors Search BNP Paribas Offices in Cum-Ex Probe
By Editors | 27/01/2023
The investigation also involves searches of private residences, focusing on 58 suspects who were or are professionally active for the bank.
AML / KYC
Ex-FBI Agent Charged for Money Laundering, Sanctions Violations
By Editors | 27/01/2023
The former FBI agent conspired with a former Russian diplomat to help Oleg Deripaska have his sanctions removed.
Enforcement
RBNZ Concludes Work to Enhance Enforcement Framework
By Editors | 27/01/2023
The framework consists of three documents setting set how the RBNZ selects matters for investigation, conducts investigations, and takes enforcement decisions.
Enforcement
Morgan Stanley Fines Staff Over Use of Messaging Platforms
By Editors | 27/01/2023
The penalties ranged from several thousand dollars for some staff to more than USD 1 million for others, cut from past bonuses or future pay.
Capital / Liquidity
RBI Proposed New Securitisation Framework for Stressed Assets
By Editors | 27/01/2023
Banks would be able to sell stressed assets to special purpose entities that issue securitisation notes for investors to buy.
Crypto / Digital Assets
ISDA Launches Standard Definitions for Digital Asset Derivatives
By Editors | 27/01/2023
ISDA says the definitions set clear provisions for execution and settlement and will help to reduce credit and market risk in digital asset trading.
Enforcement
SEBI Targets Front-running in Nationwide Raids
By Editors | 27/01/2023
Individuals would take positions on certain stocks prior to so-called ‘market experts’ going on live television to recommend those same stocks.
New Zealand to Increase Foreign Reserves Holdings
By Editors | 27/01/2023
New Zealand will look to increase its foreign reserves holdings over “a number of years” in order to minimise the market impact.
BSP Raises Interest Rate Caps for Credit Card Issuers
By Editors | 27/01/2023
The BSP says the higher caps will cushion the impact of inflationary pressure and interest rate hikes on banks and credit card issuers.
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