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New Zealand: Impact Of Russia Sanctions On AML/CFT Reporting Entities

Date 18/03/2022

The three AML/CFT Act supervisors – FMA, DIA and RBNZ - have provided an update to reporting entities on what is required of them under the Russia Sanctions Act 2022, following the Act’s passage in Parliament on 9 March. The Ministry of Foreign Affairs and Trade (MFAT) has detailed the individuals, entities, and classes of persons impacted by the Sanctions Act 2022.
New Zealand Financial Markets Authority Comments On Conflict Of Interest Processes

Date 17/03/2022

The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko today welcomed an independent review into the advice provided to the Minister of Commerce and Consumer Affairs in relation to the appointment of default KiwiSaver providers in 2021.
US Office Of The Comptroller Of The Currency Assesses $60 Million Civil Money Penalty, Issues Cease And Desist Order Against USAA

Date 17/03/2022

The Office of the Comptroller of the Currency (OCC) today assessed a $60 million civil money penalty against USAA, Federal Savings Bank, for violations of the OCC’s Bank Secrecy Act regulations. The OCC also issued a Cease and Desist Order against the bank based on its failure to establish and maintain an effective Bank Secrecy Act/Anti Money Laundering (BSA/AML) program.
Nasdaq To Hold First Quarter 2022 Investor Conference Call

Date 17/03/2022

Nasdaq (Nasdaq: NDAQ) has scheduled its First Quarter 2022 financial results announcement.
ISDA Russian Sanctions And Market Impacts InfoHub

Date 17/03/2022

This page will be updated on a regular basis as relevant information becomes available globally and will serve as the central depository for information from ISDA relating to the impact of Russian sanctions on derivatives markets. If you have any questions or would like additional information in relation to these matters, please email ISDALegal@isda.org.

Ontario Securities Commission: Statement On Undertaking Given By Binance

Date 17/03/2022

The Ontario Securities Commission (OSC) today published an undertaking given by Binance Holdings Limited and Binance Canada Capital Markets Inc. (together, Binance), which holds these entities accountable for taking steps to address concerns arising from recent events.
FINRA Issues Reminder About The Scope Of Chief Compliance Officer Supervisory Liability

Date 17/03/2022

FINRA today issued a Regulatory Notice reminding member firms about the scope of broker-dealer chief compliance officer (CCO) supervisory liability under FINRA rules.
Russian Elites, Proxies, And Oligarchs Task Force Ministerial Joint Statement

Date 17/03/2022

Following the launch meeting of the Russian Elites, Proxies, and Oligarchs (REPO) Task Force, the members from participating countries released the following joint statement
Readout: US Treasury Climate Counselor And SPEC Senior Advisor Discuss Collaboration To Accelerate Energy Transition

Date 17/03/2022

On Wednesday, March 16, Climate Counselor to U.S. Secretary of the Treasury Janet L. Yellen, John Morton, concluded a visit to Jakarta, Indonesia—the first of an eight-day, three-country trip to Asia to strengthen partnerships and bolster an expedited clean energy transition in the region.
NGX, CFA Society Nigeria Collaborate To Build Capacity For Efficient Derivatives Market

Date 17/03/2022

Nigerian Exchange Limited (“NGX” or “The Exchange”) and CFA Society Nigeria are set to host a series of workshops and trainings aimed at building capacity of market participants and deepening liquidity for derivatives products in the Nigerian capital market. The first in the series of workshops, themed “Derivatives and the Nigerian Capital Market”, will hold on Wednesday, 23 March 2022 via Zoom.