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PEPs & Sanctions
OFAC Sanctions Target Drug Trafficking, Crypto Abuse – Chainalysis
By Jill Wong | 10/10/2023
OFAC sanctions against several Chinese entities are an important step in preventing crypto abuse by criminal syndicates, Chainalysis says.
Market Abuse
Korean Investors Warned About Illegal Overseas Trading
By Editors | 09/10/2023
The FSC and FSS say there has been a recent increase in the number of foreign investigations involving Korean investors.
Clearing & Post-Trade
Don’t Delay the Inevitable: T+1 Settlement is Imminent
By Val Wotton | 09/10/2023
DTCC’s Val Wotton discusses what the US move to a shorter settlement cycle means for Asia and beyond.
Anti-Money Laundering
US Court Orders Return of Ex-Goldman Banker Roger Ng to Malaysia
By Manesh Samtani | 07/10/2023
Roger Ng already has to serve ten years in a US prison, but he will first be transported back to Malaysia to face other 1MDB-related charges and help in the 1MDB probe.
Climate Risk
US Treasury Principles Aim to Make Net Zero “the Norm”
By ESG Investor | 06/10/2023
Principles announced by Treasury Secretary Janet Yellen put emphasis on Scope 3 reporting from financial institutions and measurable targets.
PEPs & Sanctions
OFAC Sanctions China-based Network for Fentanyl Production, Trafficking
By Editors | 04/10/2023
The DOJ unsealed indictments charging Chinese companies and their employees for illicit drug production, distribution, and sales of precursor chemicals.
Reporting & Disclosures
Philippine SEC Consults on Revised Sustainability Reporting Guidelines
By Editors | 04/10/2023
Listed companies will be required to submit sustainability reports in two formats. Consultation is open until 16 October.
Clearing & Post-Trade
HKEX Sets Launch Date for New Stock Connect Settlement Platform
By Editors | 04/10/2023
The settlement acceleration platform, known as HKEX Synapse, will launch on 9 October 2023 and improve post-trade efficiencies.
Cryptocurrency
US Judge Denies SEC Permission to Appeal Ripple Ruling
By Editors | 04/10/2023
The July ruling found that programmatic sales of Ripple’s XRP digital token on public exchanges was not a breach of federal securities laws.
Conduct, Culture & Accountability
FDIC Proposes Enhanced Corporate Governance Guidelines for Banks
By Sanday Chongo Kabange | 04/10/2023
The guidelines will be applicable to insured depository institutions with consolidated assets of USD 10 billion or more.
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