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PEPs & Sanctions
OFAC, OFSI Publish MOU on Sanctions Cooperation
By Manesh Samtani | 14/01/2025
The MOU aims to foster greater alignment in sanctions enforcement by facilitating secure and collaborative information sharing.
Supervision & Enforcement
US SEC Fines 14 More Firms for Record-keeping Violations
By Thisanka Siripala | 14/01/2025
The latest penalties were imposed on units of Robinhood, Blackstone, Apollo, KKR, Charles Schwab, Santander and others.
Anti-Money Laundering
US Grand Jury Indicts Three Russians Who Operated Crypto Mixers
By Manesh Samtani | 14/01/2025
The defendants operated Blender.io and Sinbad.io, which were used to launder funds stolen from victims of ransomware, virtual currency thefts, and other crimes.
Structural Regulation
Claim Amount Quadruples in Lawsuit Over Credit Suisse AT1 Writedown
By Thisanka Siripala | 14/01/2025
An amended complaint filed in New York adds 39 plaintiffs including AllianceBernstein and a subsidiary of Japan’s Nomura Holdings
Supervision & Enforcement
US Gives Estonia $50m for its Help in Danske Bank Case
By Nithya Subramanian | 13/01/2025
Estonia will use the funds to combat financial crime, enhance asset recovery, and provide specialised training across the Baltic States and Nordic region
PEPs & Sanctions
US Imposes “Most Significant Sanctions Yet” on Russia’s Energy Sector
By Editors | 13/01/2025
Treasury targeted 183 vessels and more than 150 entities. The State Department sanctioned nearly 80 entities and individuals.
Trading & Investment
US SEC Fines ATS Operator Liquidnet for Deficient Controls
By Nithya Subramanian | 13/01/2025
Liquidnet violated the market access rule over several years by setting inappropriate credit thresholds, including a default threshold of $1bn
PEPs & Sanctions
US and Allies Issue New Sanctions Targeting Venezuelan Officials
By Editors | 12/01/2025
The measures were announced by the US, UK, EU and Canada, each declaring Nicolás Maduro’s election victory as illegitimate.
Anti-Money Laundering
DARPA’s Considers Research Programme to ‘Revolutionise’ AML
By Editors | 12/01/2025
The proposed research programme aims to “eliminate global money laundering” by replacing manual practices with “agile, algorithmic methods”
Anti-Money Laundering
Philippine AMLC Issues New Transaction Reporting Guidelines
By Sanday Chongo Kabange | 12/01/2025
The AMLC says the guidelines, to be adopted in phases, are intended to help covered persons carry out one of their “primary duties”
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