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United States
Structural Regulation
Thai SEC Issues Market Entry Guidelines for Foreign Firms
By Editors | 23/09/2024
The SEC said it will fast-track the licence approval process to better facilitate the entry of qualified foreign businesses into the Thai market.
Trading & Investment
CFTC Finalises Guidance for Listing Carbon Credit Derivatives
By Editors | 23/09/2024
The CFTC said the guidance will help to promote standardisation of VCC derivative products in a manner that “promotes transparency and liquidity”.
Trading & Investment
US SEC Adopts Market Reforms, Including Lower Tick Sizes
By Editors | 21/09/2024
SEC Chair Gary Gensler said the reforms will help promote greater transparency, competition, fairness, and efficiency in the equity market.
Market Abuse
US SEC Fines Macquarie Unit $80m for Overvalued CMOs
By Nithya Subramanian | 20/09/2024
The Macquarie unit overvalued odd lot CMO positions and then executed cross trades to push the resulting losses to retail funds.
PEPs & Sanctions
OFAC Targets Russia-DPRK Sanctions Evasion Network
By Editors | 20/09/2024
New sanctions have been imposed on five entities and an individual for helping to establish payment mechanisms between Russia and North Korea.
PEPs & Sanctions
Armenia Accused of Facilitating Russian Sanctions Evasion
By Editors | 20/09/2024
NGOs from Azerbaijan claim that several EU countries including Greece and Cyprus are continuing to conduct trade with Russia through Armenia.
Fraud, Scams & Cybercrime
US SEC Files First Charges Involving Romance Scams
By Nithya Subramanian | 20/09/2024
In the first charges of this type, the SEC alleges that fraudsters used social to lure investors to fake crypto platforms before stealing their money.
Supervision & Enforcement
US SEC Fines Former FTX Auditor for Negligence-related Fraud
By Nithya Subramanian | 19/09/2024
Prager Metis issued two audit reports for FTX between 2021 and 2022, but failed to comply with auditing standards and apply “due care” in those audits.
Emerging Prudential Risks
US, Hong Kong Cut Rates for the First Time in Four Years
By Manesh Samtani | 19/09/2024
The last time the US Federal Reserve and HKMA lowered their benchmark interest rates was during the early days of the Covid-19 pandemic in 2020.
Market Abuse
US DOJ Probing Whether Banks Colluded During Archegos Wind-down
By Nithya Subramanian | 19/09/2024
The Justice Department is reportedly investigating whether some Wall Street banks coordinated stock sales during the Archegos collapse.
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