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United States
Fraud, Scams & Cybercrime
US Charges Chinese Hedge Fund Manager for Stealing Trade Secrets
By Nithya Subramanian | 06/11/2024
Xiao Zhang allegedly stole code, projects and research from the US investment firm employing him with the intent of establishing his own operation in China.
Anti-Money Laundering
Thai SEC Directs Crypto Firms to Report Suspicious Transactions
By Editors | 05/11/2024
The SEC directive is a response to a case involving the alleged use of the USDT stablecoin to launder money.
Supervision & Enforcement
US SEC Fines JPMorgan Units $151m for Regulatory Violations
By Editors | 05/11/2024
The amount includes $61mn of civil penalties and $90mn of reimbursements to customers, settling five separate enforcement actions brought by the SEC.
PEPs & Sanctions
US Commerce Dept Fines Chipmaker Over Shipments to China
By Editors | 04/11/2024
The chipmaker shipped semiconductor wafers to a Chinese firm on the Entity List without a licence, due to a data entry error that impacted its transaction screening system.
PEPs & Sanctions
OFAC Issues New Sanctions Compliance Guidance for Maritime Industry
By Editors | 03/11/2024
The guidance describes five scenarios indicative of sanctions evasion and offers recommendations for maritime sector stakeholders.
Structural Regulation
Nasdaq, Cboe Challenge SEC Amendments to Reg-NMS
By Thisanka Siripala | 01/11/2024
The amendments lower the cap on fees that exchanges can charge brokers for accessing the best displayed prices.
Fraud, Scams & Cybercrime
FTX’s Former Engineering Director Spared Prison Time
By Nithya Subramanian | 01/11/2024
Nishad Singh has avoided prison time after cooperating with prosecutors. But the court has ordered him to pay $11bn in restitution.
Structural Regulation
US Publishes First Ever National Strategy on Financial Inclusion
By Editors | 01/11/2024
The strategy calls on FIs to help consumers open transaction accounts, expand credit access for underserved communities, and help consumers build retirement savings.
PEPs & Sanctions
US Targets Almost 400 Entities in Latest Russia Sanctions Package
By Editors | 01/11/2024
The action targets individuals and entities across 17 jurisdictions, including India, China, Switzerland, Malaysia, Thailand, Singapore, and the UK.
Structural Regulation
US, Taiwan to Start Negotiating Agreement to Address Double Taxation
By Editors | 01/11/2024
Currently, Taiwanese businesses and individuals are taxed on their income by both the US and Taiwanese governments.
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