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United States
DeFi & Web3
CFTC Fines Uniswap for Offering Crypto Derivatives Without Registration
By Nithya Subramanian | 06/09/2024
The CFTC’s Ian McGinley said DeFi operators must be vigilant to ensure transactions comply with the law. Two commissioners dissented.
PEPs & Sanctions
US Charges Six Hamas Leaders for Terrorism, Sanctions Evasion
By Editors | 06/09/2024
The DOJ said Hamas crypto fundraising efforts caused US persons to engage in transactions that violated US sanctions regulations.
Fraud, Scams & Cybercrime
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.
PEPs & 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.
Custody & Infrastructure
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.
PEPs & 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.
Conduct, Culture & Accountability
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.
Market Abuse
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.
PEPs & 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.
Cryptocurrency
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.
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