United States

    image

    Market Abuse

    US SEC Settles Charges with Associate of Short Seller Andrew Left

    By Mark Johnston | 24/10/2024

    The SEC said Ryan Choi misled investors in two tweets and profited from trades in two companies without properly disclosing his trading activity.

    image

    Conduct, Culture & Accountability

    US CFPB Imposes Penalties on Goldman Sachs and Apple

    By Nithya Subramanian | 24/10/2024

    Goldman is banned from launching new credit card products until it can demonstrate compliance with federal law.

    image

    PEPs & Sanctions

    US Finalised $20b Portion of G7 Loan for Ukraine

    By Editors | 24/10/2024

    The rest of the $50bn loan will be provided by other G7 allies. Earnings from frozen Russian assets will be used for repayments.

    image

    Sustainable Finance

    ACMF Endorses V2 of ASEAN Transition Finance Guidance

    By Nithya Subramanian | 24/10/2024

    The Version 2 guidance provides guidance on reference transition pathways, to help companies develop their individual transition plans.

    image

    Cybersecurity

    US SEC Fines Four Companies Over Misleading Cyber Disclosures

    By Mark Johnston | 24/10/2024

    The four companies provided misleading disclosures about cybersecurity breaches associated with the SolarWinds hack.

    image

    Data Privacy

    US CFPB Finalises Open Banking Rule, Giving Consumers Control Over Data

    By Nithya Subramanian | 24/10/2024

    The new rule aims to promote competition, improve services, and enhance privacy protections for consumers, but some banking groups have challenged it.

    image

    Anti-Money Laundering

    FinCEN Issues New Alert on Countering Hezbollah Activities

    By Editors | 24/10/2024

    The alert builds on a May advisory on Iran-backed terrorist groups and sets out indicators to assist FIs in identifying and reporting activity involving Hezbollah.

    image

    Fraud, Scams & Cybercrime

    US Court Indicts Two Sudanese Nationals Linked to DDoS Attacks

    By Nithya Subramanian | 23/10/2024

    The two men operated and controlled Anonymous Sudan, a cybercrime group responsible for several DDoS attacks in the US and elsewhere.

    image

    Cryptocurrency

    NYSE, Cboe Win Approval to List Options on Spot Bitcoin ETFs

    By Editors | 23/10/2024

    NYSE American received approval to list options on three bitcoin ETFs. Cboe Exchange received approval for options on two bitcoin ETFs.

    image

    Reporting & Disclosures

    US SEC Fines WisdomTree for ESG Compliance Failures

    By Nithya Subramanian | 22/10/2024

    The investment adviser agreed to pay a $4mn fine for failing to exclude fossil fuel and tobacco investments from its ESG-marketed funds.

    JOIN OUR NEWSLETTER

    An exclusive weekly selection of top stories from the Regulation Asia editorial team.