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AML / KYC
Western Leaders Pledge to Remove Russian Banks from SWIFT
By Manesh Samtani | 28/02/2022
Western leaders have committed to removing “selected Russian banks” from the SWIFT financial messaging system to harm their ability to operate globally.
Securities / Derivatives
US SEC Proposes New Rule to Increase Short Selling Transparency
By Editors | 28/02/2022
Institutional investment managers will have to report information relating to short positions to the SEC on a monthly basis. The data will be aggregated and made available to the public.
AML / KYC
BitMEX Founders Agree Settlement for US AML Violations
By Editors | 28/02/2022
Arthur Hayes and Benjamin Delo have pleaded guilty to breaching AML laws and agreed to pay a USD 10 million fine each.
Securities / Derivatives
US Fed Approves New Trading Rules for Senior Officials
By Sanday Chongo Kabange | 27/02/2022
The rules aim to support public confidence in the impartiality and integrity of the FOMC’s work by guarding against “even the appearance of any conflict of interest”.
AML / KYC
Russia Facing Comprehensive Sanctions Over Ukraine Invasion
By Manesh Samtani | 25/02/2022
The US is targeting all ten of Russia’s largest financial institutions. Russian access to most major markets has been restricted.
Fintech / Regtech
ICE Makes ‘Strategic Investment’ in Digital Securities Platform tZero
By Editors | 24/02/2022
tZERO operates a digital marketplace for unique private assets, public equities, cryptocurrencies, and other digital assets, including NFTs.
AML / KYC
Ex-Goldman Exec Alleges BNM Was Involved in 1MDB Graft
By Editors | 24/02/2022
Tim Leissner said BNM approved a USD 1 billion overnight transfer out of 1MDB but that he could not independently verify whether a bribe was paid.
Securities / Derivatives
SET Revises Rules to Encourage Listings by Foreign Firms
By Editors | 24/02/2022
Foreign companies will now only have to retain financial advisors for 1 year after listing and the quiet period of strategic shareholders has been shortened to 1.5 years.
Securities / Derivatives
SEBI to Enhance Disclosures on IPOs by Loss-making Tech Firms
By Ranamita Chakraborty | 23/02/2022
SEBI proposes that new age technology companies be required to disclose all presentations made to pre-IPO investors during the three years prior to the IPO.
AML / KYC
US, EU, UK, Japan Announce Sanctions Against Russia
By Manesh Samtani | 22/02/2022
Sanctions are being imposed against Russian state-owned banks, officials, oligarchs, and new debt issued by the central bank, sovereign wealth fund or government.
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