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United States
Sanctions
EU, US, UK to Respond to Death of Top Putin Critic With Sanctions
By Editors | 20/02/2024
Aleksei Navalny, who survived a poisoning four years ago, died in a remote Arctic prison where he was serving a three-decade sentence.
Securities / Derivatives
Philippine Exchange to Launch VWAP Trading on 1 March
By Sanday Chongo Kabange | 20/02/2024
Volume weighted average price (VWAP) trading enables investors to execute large orders without artificially inflating securities prices.
Market Infrastructure
SIFMA Backs Lawsuit Against SEC Over CAT Funding Model
By Mark Johnston | 19/02/2024
SIFMA and others say the SEC has unlawfully imposed “massive costs” on broker-dealers and investors by adopting a revised CAT funding model.
Sanctions
US Eases Restrictions on DRPK Humanitarian Activities
By Editors | 18/02/2024
NGOs will be able to engage in a broader range of humanitarian-related activities involving North Korea with fewer bureaucratic hurdles.
ESG / Sustainability
Major US Asset Managers Withdraw from Climate Action 100+
By Nithya Subramanian | 16/02/2024
CA100+ expectations are said to be in conflict with US laws which require fund managers to act solely in clients’ long-term economic interest.
Enforcement
US Court Charges Digitex CEO with BSA Violations
By Mark Johnston | 16/02/2024
Founder and CEO of Digitex Futures Exchange has been indicted for failing to establish and implement an AML program as required by the Bank Secrecy Act.
Securities / Derivatives
US SEC Chair Warns Companies Against ‘AI Washing’
By Nithya Subramanian | 15/02/2024
Gary Gensler has asked companies looking to raise money from the public to be truthful and transparent about their use of AI and the associated risks.
Sanctions
OFAC Sanctions 7 Targets Over Illegal Exports to Iran
By Editors | 15/02/2024
Three individuals and four entities, including a subsidiary of Iran’s central banks, were sanctioned for illegally exporting US goods and tech to Iran.
AML / KYC
US DOJ Secures Guilty Plea in Russia Sanctions Evasion Case
By Editors | 14/02/2024
A Canadian-Russian national helped ship US-origin electronic components that were later found in Russian weapons in Ukraine.
AML / KYC
FinCEN to Extend AML/CFT Requirements to Investment Advisers
By Editors | 14/02/2024
Investment advisers would have to implement risk-based AML/CFT programmes and report suspicious activity to FinCEN.
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