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United States
PEPs & Sanctions
Shanghai Chip Equipment Firm Sues for Removal from US Blacklist
By Editors | 20/08/2024
AMEC said it has never been involved in any military-related activities and its inclusion in the US blacklist was without legal basis.
Resolution & Recovery
China, US Exchange Letters of Cooperation on Financial Stability
By Editors | 20/08/2024
PBOC and US Treasury officials agreed to strengthen information sharing and coordinate in times of financial stress and operational resilience issues.
Market Abuse
US SEC Fines Billionaire Investor Carl Icahn for Disclosure Failures
By Editors | 20/08/2024
Carl Icahn failed to disclose pledges of more than half of his stock in publicly traded Icahn Enterprises for billions of dollars in personal margin loans.
Structural Regulation
Getting Your Ducks in a Row for APAC Rules Rewrites
By Priya Kundamal | 19/08/2024
DTCC’s Priya Kundamal discusses the lessons learned from markets that have implemented the first phase of changes to derivatives reporting rules.
Anti-Money Laundering
US SEC Fines ATS Operator OTC Link for AML Failings
By Editors | 18/08/2024
OTC Link did not file a single SAR over 38 months. Its AML department consisted of only two individuals who together spent just five hours per month reviewing trading alerts.
PEPs & Sanctions
China Imposes New Export Controls on Strategic Minerals
By Editors | 18/08/2024
The export controls apply to antimony and related products as well as certain equipment and technologies used in materials science and engineering.
AI Risk & Governance
US Regulator to Crack Down on ‘Time-wasting’ Chatbots Used by FIs
By Editors | 17/08/2024
The CFPB will issue rules or guidance to regulate the use of “ineffective and time-wasting chatbots” by FIs in lieu of customer service.
PEPs & Sanctions
US Man Arrested Over Attempts to Export Aircraft Components to Iran
By Editors | 17/08/2024
Jeffrey Chance Nader falsely identified himself to suppliers as the end user of the components, which he attempted to export to the UAE for transshipment to Iran.
PEPs & Sanctions
OFAC Unveils Fresh Sanctions Against Iranian Shipping Network
By Editors | 16/08/2024
The sanctions target companies based in the Marshall Islands, the UAE, Malaysia and Hong Kong, along with several vessels, for helping to generate revenue for the Houthis.
Trading & Investment
Shenzhen, Dubai Sign MOU on Capital Markets Cooperation
By Editors | 16/08/2024
Under the MOU, SZSE and DFM will explore the potential for future dual listings and ETF connectivity between the two markets.
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