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United States
Trading & Investment
US SEC Approves First ‘Around the Clock’ Stock Exchange
By Editors | 03/12/2024
The SEC will allow 24X National Exchange to start offering US daytime trading and later add overnight trading if certain requirements are met.
Cybersecurity
SEC Settles ICBC Recordkeeping Charges from 2023 Cyber Incident
By Editors | 03/12/2024
ICBC failed to keep its books and records current for almost four months following the November 2023 ransomware attack. No penalty was imposed.
PEPs & Sanctions
Former CEO Pleads Guilty to Violating US Export Controls
By Editors | 03/12/2024
The former CEO of a freight forwarding company made over 1,000 shipments to Chinese companies on the Entity List that were dealing with North Korea.
Sustainable Finance
US States Sue Major Asset Managers for Alleged Antitrust Violations
By Nithya Subramanian | 03/12/2024
The lawsuit alleged that BlackRock, Vanguard and State Street drove up electricity prices by pressuring coal companies to cut their carbon emissions.
PEPs & Sanctions
US Targets China Chip Production With New Export Controls
By Editors | 03/12/2024
The controls aim to further impair China’s ability to procure and produce technology for its military modernisation, WMD programmes, and ability to repress human rights.
PEPs & Sanctions
BRICS Nations Face ‘100% Tariffs’ if They Move Away from USD
By Editors | 02/12/2024
President-elect Trump said the BRICS nations will face “100% Tariffs” if they create a new BRICS currency or back any other currency to replace the US dollar.
Market Abuse
ICAC Charges Former SFC Manager for Sharing Confidential Information
By Sanday Chongo Kabange | 02/12/2024
The former SFC manager shared confidential information about a 2023 rights issue to personal friends who used it to make HK$11mn in trading profit.
CBDCs
Central Banks Offers Legal and System Design Lessons for Retail CBDC
By Manesh Samtani | 01/12/2024
Seven central banks have published two new papers summarising key legal and system design aspects of retail CBDC.
Anti-Money Laundering
Morgan Stanley Internal Documents Show Scale of AML Deficiencies
By Nithya Subramanian | 30/11/2024
Nearly a quarter of the bank’s international wealth accounts were reportedly flagged in 2023 for elevated money laundering risks.
Fraud, Scams & Cybercrime
FinCEN Joins Task Force on Preventing Fraud and Scams
By Nithya Subramanian | 29/11/2024
The task force. convened by the Aspen Institute, will seek to develop a national strategy for combating fraud and scams.
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