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United States
Anti-Bribery & Corruption
UK Reinsurance Brokers Settle FCPA Charges for Ecuador Bribes
By Mark Johnston | 21/11/2023
Tysers Insurance Brokers agreed to pay almost $47mn for bribing officials at Ecuadorian state-owned insurance companies.
Cryptocurrency
SEC Charges Crypto Firm Kraken for Operating Without Registration
By Editors | 21/11/2023
The SEC said Kraken’s failure to register deprived investors of “significant protections” and “safeguards against conflicts of interest”.
PEPs & Sanctions
US Adds Indian Firm to Entity List, Highlights Export Controls on Russia
By Editors | 20/11/2023
Commerce Department accuses the firm of supplying US-origin circuits to Russian defence companies, while also targeting firms supplying US-origin airline parts to Venezuela.
Fraud, Scams & Cybercrime
Ransomware Group Files SEC Complaint Against its Own Victim
By Mark Johnston | 20/11/2023
ALPHV/BlackCat attacked software company MeridianLink, then filed a complaint with the US SEC saying the company failed to disclose the attack.
Climate Risk
Xi Jinping Pledges to Further Open China Market to Foreign Firms
By Editors | 20/11/2023
During Xi’s visit to the US, the two sides agreed to cooperate on addressing AI risks, climate change, and fentanyl trafficking.
Clearing & Post-Trade
ASX Picks TATA, Accenture To Deliver CHESS Replacement
By Sanday Chongo Kabange | 20/11/2023
ASX says it selected TCS and Accenture after extensive evaluation of potential solution options and product vendors.
Clearing & Post-Trade
Asian Firms Must Tackle T+1 Long Before May
By Javier Hernani Burzaco | 19/11/2023
European and APAC firms that act quickly to prepare for T+1 settlement in North America would gain a competitive advantage, writes Javier Hernani Burzaco.
Conduct, Culture & Accountability
FDIC Faces Investigation Over Sexual Misconduct Allegations
By Editors | 19/11/2023
FDIC chair Martin Gruenberg, who headed the agency from 2011 to 2018, is under scrutiny for allowing widespread harassment to persist for over ten years.
Custody & Infrastructure
GBBC Announces Merger with US Blockchain Coalition
By Editors | 18/11/2023
The US Blockchain Coalition will become a national initiative of GBBC, which will have nearly 600 institutional members post-merger.
PEPs & Sanctions
US Sanctions Highlight Russian Influence in Balkans Region
By Editors | 17/11/2023
US government actions targets individuals and entities linked to Russia accused of corruption and destabilising activities in the Balkans.
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