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Structural Regulation
China Files WTO Complaint Over Semiconductor Export Controls
By Editors | 14/12/2022
China is separately working on a CNY 1 trillion support package to expand domestic semiconductor production and research activities.
Fraud, Scams & Cybercrime
FTX Founder Arrested, Charged by SEC, SDNY, CFTC
By Sanday Chongo Kabange | 14/12/2022
US authorities have charged Sam Bankman-Fried for defrauding customers, investors, lenders, and campaign finance violations.
Anti-Bribery & Corruption
UK Police Arrest Chinese Tycoon on US Bribery Charges
By Editors | 14/12/2022
The co-chairman of Chinese real estate firm Guangzhou R&F Properties is accused of paying bribes to San Francisco authorities from 2015 through 2020.
Market Abuse
US Court Convicts Another JPM Trader on Spoofing Charges
By Editors | 13/12/2022
Former precious metals trader faces up to 30 years in prison for placing deceptive orders intended in COMEX gold and silver futures.
Climate Risk
Vanguard Withdraws from NZAM Alliance Amid Political Pressure
By Editors | 13/12/2022
The move came a day after a senate committee report was released highlighting the outsized influence of the “Big Three” asset managers towards ESG.
Cryptocurrency
US SEC Directs Issuers to Detail Exposures to Crypto and Related Impacts
By Editors | 13/12/2022
Separately, US senators asked banking regulators to provide details on banks that have engaged in crypto-related services.
Market Abuse
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.
Clearing & Post-Trade
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.
PEPs & Sanctions
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.
Reporting & Disclosures
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.
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