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AML / KYC
OFAC Penalises MoneyGram & SAP for Sanctions Violations
By Editors | 05/05/2021
In both cases, OFAC cited voluntary self-disclosures, the non-egregiousness of the violations, and remedial action as the reasons for the penalty amounts.
Fintech / Regtech
Digital Dollar Project Prepares to Launch CBDC Pilot Tests
By Sanday Chongo Kabange | 04/05/2021
The DDP will launch five pilot programs over the next 12 months to measure the value of and inform the future design of a US CBDC.
Market Infrastructure
Industry Groups Collaborate to Plan Move to T+1 in US Equities
By Sanday Chongo Kabange | 01/05/2021
SIFMA, ICI and DTCC plan to complete their analysis on the next steps needed to shorten the settlement cycle in US equities by the end of Q3 2021.
ESG / Sustainability
LuxSE Displays First Sustainability Bond from Thailand on LGX
By Sanday Chongo Kabange | 30/04/2021
Thailand opted to list the sustainability bond on the Luxembourg Green Exchange to strengthen access to the international investor community.
Enforcement
SEC Thailand Seeks Investigative, Prosecutorial Powers
By Editors | 29/04/2021
The SEC seeks powers to investigate and prosecute its own cases and speed up enforcement against capital market violations.
Securities / Derivatives
Bank Losses from Archegos Collapse to Exceed $10bn
By Sanday Chongo Kabange | 29/04/2021
New disclosures from UBS and Nomura have raised estimates of the total losses to banks to over $10.5bn.
Crypto / Digital Assets
US House Passes Bill to Foster Innovation in Digital Assets
By Editors | 25/04/2021
The bill will require the SEC and CFTC to establish a digital asset working group to ensure collaboration between regulators and the private sector on digital assets.
AML / KYC
Final Phase of Meng Extradition Case to Be Delayed
By Sanday Chongo Kabange | 25/04/2021
The final phase of the extradition case is being delayed to allow Meng’s lawyers to examine documents being provided by HSBC as a result of a Hong Kong court ruling.
Market Infrastructure
DTCC Study Highlights Need to Enhance Post-trade Processes
By Editors | 22/04/2021
The sell-side is seeking enhancements to reconciliations and confirmations capabilities. The buy-side is focusing on fails and collateral management.
Market Infrastructure
ARRC Outlines Principles for Forward-Looking SOFR Term Rate
By Editors | 22/04/2021
The ARRC said it is seeking to provide greater clarity on the likelihood and potential timing of a recommended SOFR term rate for certain uses.
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