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United States
Securities / Derivatives
US Plans More Investment Curbs on China as France Bolsters Bilateral Ties
By Editors | 01/08/2023
Amid rising US-China tensions, Biden plans further tech investment curbs. Yet, France is fostering deeper economic cooperation with China.
Sanctions
Helsinki Commission Calls for Sanctions Against Swiss Nationals
By Editors | 31/07/2023
Three Swiss nationals allegedly received bribes to release frozen funds linked to Russian officials implicated in the 2009 murder of Sergei Magnitsky.
AML / KYC
US Senate Approves Defence Bill with Provisions Targeting Crypto Mixers
By Editors | 31/07/2023
The US Senate’s approval of the 2024 NDAA includes stringent provisions aimed at cryptocurrency mixers, marking a regulatory milestone.
Securities / Derivatives
SEC Finalises Cybersecurity Disclosure Rules for Public Companies
By Editors | 31/07/2023
Public companies will be required to disclose their cyber risk management practices and report significant incidents within four business days.
Securities / Derivatives
CFTC Finalises New DCO Rule and Introduces Three Proposals
By Editors | 31/07/2023
The final rule amends reporting requirements for DCOs. The three proposals cover SEF regulations, uncleared swap confirmations, and margin requirements.
Market Infrastructure
DTCC Exits Global Markets Entity Identifier Business
By Editors | 31/07/2023
DTCC to exit Global Markets Entity Identifier operations by 22 August, partnering with GLEIF for a seamless transition.
Capital / Liquidity
US Agencies Update Guidance on Liquidity Risk, Contingency Planning
By Sanday Chongo Kabange | 31/07/2023
The guidance requires depository institutions to regularly evaluate and update their contingency funding plans, more frequently in changing market conditions.
Fintech / Regtech
SEC Targets Digital Investment Advisers with Proposed Rule Changes
By Editors | 31/07/2023
The US SEC is seeking to reform Internet adviser registration rules, proposing stricter requirements for digital investment platforms.
Securities / Derivatives
Chinese Firm Set to Stage First US IPO Under New CSRC Rules
By Editors | 31/07/2023
Chinese-based Majestic Ideal Holdings is inching towards becoming the first company to IPO in the US under newly-implemented rules for overseas listings.
Fintech / Regtech
US SEC Proposes New Rules on the Use of Predictive Analytics and AI
By Editors | 31/07/2023
SEC proposes new rules to address conflicts in broker-dealers’ and investment advisers’ use of predictive analytics and AI.
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