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Anti-Money Laundering
FinCEN Publishes First Government-wide AML/CFT Priorities
By Ranamita Chakraborty | 05/07/2021
FinCEN will publish new rules within 6 months reflecting the priorities, which identify the most significant AML/CFT threats currently facing the US.
Anti-Bribery & Corruption
US Judge Orders Goldman, Former Execs to Face 1MDB Lawsuit
By Ranamita Chakraborty | 01/07/2021
A US district court judge said it “strains credulity” for Goldman Sachs to contend it had no indication that funds were being siphoned from 1MDB.
Anti-Money Laundering
Binance Deploys New AML Solution Amid Regulatory Pressure
By Ranamita Chakraborty | 01/07/2021
Binance has deployed a new AML compliance solution in the face of a ban in the UK and warnings from Japanese and Thai regulators.
Supervision & Enforcement
FINRA Orders Record Financial Penalties Against Robinhood
By Editors | 01/07/2021
Robinhood has been ordered to pay $70mn for systemic supervisory failures and significant harm suffered by millions of customers.
Structural Regulation
Philippine SEC Threatens Online Lenders with Licence Revocation
By Sanday Chongo Kabange | 29/06/2021
The threat is aimed at lending and financing companies that have failed to register and disclose their online lending platforms.
Market Abuse
SFC Probes CLSA Over CEFC Energy Bond Deal
By Sanday Chongo Kabange | 25/06/2021
A former CLSA managing director has accused CLSA of “blatant” misbehaviour as bond underwriter for the now-defunct CEFC Energy.
Trading & Investment
SEC Thailand Revises Guidelines on Depositary Receipts
By Sanday Chongo Kabange | 24/06/2021
The revisions seek to facilitate the introduction of more depositary receipt products in the Thai capital market.
Nature & Biodiversity
CME Group to Launch Nature-Based Emissions Offset Futures
By Editors | 22/06/2021
The N-GEO futures contract will allow for delivery of eligible voluntary offset credits and will be listed by and subject to the rules of NYMEX.
Structural Regulation
SEBI Planning Dedicated Framework For SPACs – Report
By Sanday Chongo Kabange | 21/06/2021
To allow SPACs in India, SEBI would have to either introduce a separate law or amend current regulations.
Anti-Money Laundering
Philippine SEC Backs Amendments to Bank Secrecy Law
By Ranamita Chakraborty | 21/06/2021
Bank secrecy has prevented the SEC from validating information and establishing the owners of bank accounts linked to securities violations.
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