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Lexology PRO | USA | 4 Oct 2022

Fed names six banks for its “not a stress test” climate scenario exercise

Bank of America, Citigroup, Goldman Sachs, JPMorgan Chase, Morgan Stanley and Wells Fargo are set to undertake next year’s pilot climate scenario exercise with the Federal Reserve – but it’s definitely not a stress test, the central bank has insisted.
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Lexology PRO | USA | 28 Sep 2022

US regulators issue $1.8 billion in fines over personal messaging usage

The SEC has announced a “first-of-its-kind group resolution” against 11 financial institutions for breaching rules governing the use of personal devices at work.
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Lexology PRO | European Union, United Kingdom | 22 Aug 2022

FCA fines Citi over MAR implementation failures

Citigroup Global Markets has accepted a fine from the UK’s Financial Conduct Authority, after the regulator ruled it failed to properly implement the EU’s Market Abuse Regulation in time.
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Lexology PRO | Global, USA | 27 Apr 2022

Major US banks reject “first of their kind” shareholder climate resolutions

Shareholders at Bank of America, Citigroup and Wells Fargo have refused to back to climate proposals from activist investors requiring them to implement stricter fossil fuel financing policies.
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Lexology PRO | Australia, China, European Union, etc. | 2 Mar 2022

Anti-corruption and AML: key compliance updates (17 Feb – 2 Mar)

The UK introduces an economic crime bill, Italy and Singapore propose AML compliance obligations for cryptocurrency service providers, and tips for complying with Russian financial sanctions – plus other key updates.
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Lexology PRO | USA | 28 Feb 2022

Goldman Sachs, Citi disclose record-keeping investigations

The banks announced SEC probes into their suspected use of unapproved messaging platforms not long after HSBC said it was under investigation for similar practices by the CFTC.
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Lexology PRO | Asia-Pacific, Hong Kong | 28 Jan 2022

Citigroup Asia slapped with $45m fine for misleading clients about trades

Hong Kong’s financial markets regulator said that the bank’s culture encouraged “chasing revenue at the expense of basic standards of honesty”.
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Lexology PRO | Asia-Pacific, Australia | 3 Dec 2021

Banks seek to spike landmark Australian cartel case before trial

An Australian judge has delayed the start of a cartel trial to give Citigroup, Deutsche Bank and several of their executives the chance to permanently dismiss allegations that they colluded to distribute bank shares.
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Lexology PRO | Asia-Pacific, Australia | 3 Nov 2021

Australian judge slams prosecutor in landmark cartel case, orders new indictment

An Australian judge has again ordered the country’s public prosecutor to fix a defective indictment charging Deutsche Bank, Citigroup and several of their employees of colluding to distribute shares after a capital raising fell short.
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Lexology PRO | Asia-Pacific, Australia | 2 Nov 2021

Australia drops charges against ANZ in landmark cartel case

Australia's prosecutions office has dropped its criminal indictment against the Australia and New Zealand Banking Group for allegedly colluding with two rival banks to offload roughly €512.9 million worth of ANZ shares.
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