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Press Release
Nasdaq Wins Best Solution in Market & Trade Surveillance
By Editors | 12/12/2022
Nasdaq was awarded best solution in market & trade surveillance at Regulation Asia’s 5th annual awards ceremony.
Market Infrastructure
Japan FSA Finalises New Derivatives Reporting Guidelines
By Editors | 12/12/2022
The guidelines and associated reporting requirements will take effect on 1 April 2024, incorporating the UTI and CDE.
Enforcement
US Sanctions Nasdaq Listed Company, Other ‘Corrupt’ Actors
By Manesh Samtani | 12/12/2022
The sanctions were connected to illegal fishing. The US, UK and Australia also sanctioned dozens of others in recognition of International Anti-Corruption Day and Human Rights Day.
ESG / Sustainability
ESMA Labelling Rules to Complicate Green Fund Market
By ESG Investor | 11/12/2022
Plans to introduce minimum investment thresholds risk creating two types of Article 8 products, says Julia Vergauwen at Linklaters.
Enforcement
US Authorities Fine NYSE-Listed ABB for South Africa Bribes
By Mark Johnston | 10/12/2022
The action was coordinated among US, South African and Swiss authorities. ABB also paid bribery related fines in 2004 and 2010.
Crypto / Digital Assets
US Probes FTX Founder for Suspected Terra Manipulation
By Editors | 09/12/2022
Prosecutors are reportedly looking into whether Sam Bankman-Fried manipulated the prices of TerraUSD and Luna to benefit entities he controlled.
Big Picture
Geopolitical Risk Cited as Top Risk to Financial Industry: DTCC
By Editors | 08/12/2022
The top three threats in DTCC’s latest Systemic Risk Barometer survey were geopolitical risks & trade tensions, inflation, and cyber risk.
Crypto / Digital Assets
NYDFS Sets Out Proposals to Charge Crypto Firms for Supervision
By Editors | 08/12/2022
The 22 crypto companies with a New York BitLicense will be subject to assessments to determine supervisory and examination costs.
Fintech / Regtech
CFTC Goes Live With New Swap Data Reporting Requirements
By Editors | 07/12/2022
The changes introduce new and updated data fields to drive the submission of more standardised trade data, largely based on the CDE developed by CPMI and IOSCO.
Crypto / Digital Assets
SEC Thailand to Tighten Conflict Management Rules for ICO Portals
By Editors | 06/12/2022
Under the revised rules, ICO portals will also be allowed to outsource certain tasks to service providers, as long as they are not ‘core’ services.
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