ADVERTISEMENT
AI Risk & Governance
NLP for Regulatory Compliance: A Question of When, Not If
By Irene Liu | 27/10/2022
Accenture’s Irene Liu and team discuss the use of NLP technology within compliance functions, as well as the adoption challenges and how to address them.
Anti-Bribery & Corruption
US Charges Chinese “Agents” for Obstructing Huawei Probe
By Editors | 26/10/2022
The two defendants are accused of trying to bribe a US official to obtain inside information about the criminal case against Huawei.
Trading & Investment
CFTC Re-Grants Certification TAIEX and Mini-TAIEX Futures
By Editors | 26/10/2022
CFTC certification allows US participants to trade TAIEX Futures and Mini-TAIEX Futures through eligible brokers.
Reporting & Disclosures
FCA Proposes Three New Green Labels for UK Funds
By ESG Investor | 26/10/2022
The FCA has published its much-anticipated consultation outlining measures to tackle greenwashing.
Sustainable Finance
Texas, Arizona Lawsuits Target Big Bank Climate Pledges
By Editors | 26/10/2022
The lawsuits take aim at Goldman Sachs, JPMorgan Chase, Bank of America, Wells Fargo, Citigroup, and Morgan Stanley.
Supervision & Enforcement
US Treasury Issues CFIUS Enforcement and Penalty Guidelines
By Editors | 26/10/2022
The guidelines describe three categories of conduct that may constitute a violation of foreign investment laws and regulations, and how penalties may be imposed.
Market Abuse
Credit Suisse Clears Litigation Docket Ahead of Overhaul
By Editors | 25/10/2022
Credit Suisse has been cleared of FX rigging charges and settled separate cases with French and US prosecutors.
Structural Regulation
Thai SEC to Improve Efficiency of Private Placements
By Editors | 25/10/2022
The SEC proposes to scrap requirements for firms to seek approval for private placement offerings, provided other investor protections are in place.
Cloud & Infrastructure
Thai SEC, DFSA Sign MOU on Fintech, Innovation Cooperation
By Editors | 25/10/2022
The agreement will help to promote cooperation on financial services regulation and fintech and regtech innovations.
Market Abuse
Nasdaq Halts At Least Four Chinese IPOs – Report
By Editors | 24/10/2022
Nasdaq will reportedly not allow certain IPOs to proceed until it can address concerns about large stock rallies seen by some Chinese issuers.
JOIN OUR NEWSLETTER
An exclusive weekly selection of top stories from the Regulation Asia editorial team.