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Crypto / Digital Assets
NY Fed Issues Phase One Report on Wholesale CBDC Research
By Editors | 04/11/2022
In the test environment, wholesale CBDC transactions on a blockchain-enabled distributed ledger system settled in under 15 seconds on average.
AML / KYC
US: ABA Warns Against Liability Shift for Fraudulent P2P Payments
By Manesh Samtani | 04/11/2022
Making banks liable for customer-initiated P2P transfers that result from fraud will harm consumers and competition, embolden scammers, and ultimately increase fraud rates.
Fintech / Regtech
BNP Paribas Completes Successful DRR Test for CFTC Rewrite
By Editors | 03/11/2022
BNP Paribas is ready to implement Digital Regulatory Reporting for the CFTC’s new swap data reporting rules coming into effect on 5 December.
Market Infrastructure
CFTC Extends Swap Reporting Relief for Non-US Dealers
By Editors | 02/11/2022
The no-action relief, initially granted in December 2013, was due to expire by 1 December 2022, but has been extended to 1 December 2025.
Crypto / Digital Assets
US DOJ Resolves Dispute with Google Over BTC-e Data
By Editors | 02/11/2022
Crypto exchange BTC-e was shut down in 2017 for alleged money laundering. At the time, US authorities were unable to obtain data from Google for the investigation because it was held overseas.
Partner Content
Nasdaq 2022 Global Compliance Survey
By Nasdaq | 02/11/2022
In the latest iteration of Nasdaq’s Global Compliance Survey (GCS), released annually since 2015, feedback was gathered from financial industry compliance professionals to provide both a point in time analysis of current compliance and surveillance related issues, as well as year over year trend analysis of the perceptions and state of surveillance globally.
Enforcement
New York Court Dismisses Tom Hayes LIBOR Rigging Case
By Editors | 01/11/2022
US prosecutors had filed a motion to dismiss the case after two other traders were acquitted in January. Hayes is still trying to get his UK conviction overturned.
ESG / Sustainability
GFANZ ‘Quiet Quits’ Race to Net Zero
By ESG Investor | 30/10/2022
The GFANZ 2022 progress report appeared to confirm the alliance’s intention to allow member groups to set their own path to net zero.
Securities / Derivatives
US SEC Finalises Clawback Rule on Erroneously Paid Compensation
By Editors | 30/10/2022
The rule will require issuers to develop and implement a clawback policy for compensation that was erroneously awarded based on incorrect financial statements.
Securities / Derivatives
CFTC Grants Exemptions to Three More Singapore RMOs
By Editors | 27/10/2022
The CFTC granted SEF registration exemptions to Bloomberg Tradebook Singapore, SGX FX Markets (BidFX), and Synoption.
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