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United States
Market Data & Technology
DTCC Opens Access to OTC Derivatives Market Data
By Editors | 09/11/2023
“OTC Direct Connect” allows market participants to access OTC derivatives transaction data that are reportable in the US and Canada.
Structural Regulation
US Adds Vietnam to FX Monitoring List, Removes Korea
By Editors | 09/11/2023
US Treasury is monitoring the currency practices and macroeconomic policies of six trading partners, including China, Malaysia, Singapore, and Taiwan.
KYC & CDD
FinCEN Finalises Rule on Use of FinCEN Identifiers in BOI Reporting
By Editors | 08/11/2023
Beneficial owners of numerous reporting companies would be able to use FinCEN identifiers to simplify the reporting process and for data security purposes.
PEPs & Sanctions
New York State Fines Payments Company for Weak Sanctions Controls
By Editors | 07/11/2023
Payoneer settles with New York State for USD 1.2 million for compliance failings after paying OFAC USD 1.4 million in 2021.
PEPs & Sanctions
US Government Tells Banks to Watch for Signs of Export Controls Evasion
By Editors | 07/11/2023
Latest BIS-FinCEN alert introduces a new filing code for suspicious activity reports related to suspected export controls evasion.
PEPs & Sanctions
New OFAC Settlement Highlights Compliance for E-Commerce
By Editors | 07/11/2023
The US Treasury Department said a US-based online rewards company failed to identify transactions involving persons in Crimea, Cuba, Iran, and Syria.
Clearing & Post-Trade
CFTC to Allow Brokers Greater Flexibility to Invest Client Funds
By Editors | 06/11/2023
FCMs and DCOs will be able to invest client funds in foreign sovereign debt and certain short-term US Treasury ETFs.
Emerging Prudential Risks
FSOC Revamps Oversight Framework for Non-Bank Sector
By Editors | 06/11/2023
The changes will make it easier for the FSOC to designate a non-bank as systemically importance, and speed up its ability to respond to risks.
PEPs & Sanctions
US Commerce Department Fines Manufacturer for Aiding Israeli Boycott
By Editors | 05/11/2023
The US-based manufacturer admitted to violating the US Antiboycott Regulations by certifying that shipments to the Middle East did not contain Israeli-origin goods.
PEPs & Sanctions
US Sanctions Russian National for Laundering Funds for Wealthy Clients
By Editors | 05/11/2023
Ekaterina Zhdanova allegedly helped wealthy clients evade sanctions and move money internationally using crypto and other channels.
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