Sanctions screening
Sanctions screening in financial and capital markets is under concurrent pressure from the U.S. Department of the Treasury's Office of Foreign Assets Control, the Financial Crimes Enforcement Network, and the European Banking Authority, each of which has issued updated expectations on automated screening system adequacy and false-positive remediation workflows in the past two years. OFAC's 2021 Sanctions Compliance Guidance for the Financial Sector remains the operative framework for U.S. broker-dealers and asset managers, but EBA's revised AML/CFT guidelines have since pushed EU-licensed institutions toward stricter real-time screening cadences for correspondent banking relationships. Compliance teams are now reconciling those two regimes where cross-border transaction flows touch both jurisdictions.
Watch
- OFAC 50 Percent Rule interpretations affecting indirect ownership in fund structures
- EBA travel rule technical standards: implementation deadlines for crypto-asset service providers
- FinCEN beneficial ownership registry: screening obligations against the new database go live
- Delistings and SDN list updates that require retroactive position review within 10 business days
- UK OFSI enforcement trend: fines issued for delayed self-disclosure of screening hits
Recent material activity in Financial & Capital Markets
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Australia ASIC Securities & Investments release pending Cresthaven Analytics full analysis: 26-166MR Federal Court finds former Noumi CEO breached directors’ duties and financial reporting obligations
Australia ASIC Securities & Investments published a regulatory release titled '26-166MR Federal Court finds former Noumi CEO breached directors’ duties and financial reporting obligations'. Cresthaven Analytics' full int…
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SEC seeks public comment on extending Rule 13f-2 short position reporting collection under institutional investment manager regime
The SEC published a proposed collection extension notice on July 27, 2026 for the information collection requirements under Rule 13f-2, which governs short position and short activity reporting by institutional investmen…
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RBI extends supervisory directions over Sonpeth Nagari Sahakari Bank Maryadit by three months to October 30, 2026
The Reserve Bank of India has extended its binding supervisory directions over Sonpeth Nagari Sahakari Bank Maryadit, Sonpeth, Maharashtra. The extension runs from July 30, 2026 to October 30, 2026, subject to review, wi…
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RBI extends supervisory directions over Irinjalakuda Town Co-operative Bank by three months to October 30, 2026
The Reserve Bank of India extended its supervisory directions over The Irinjalakuda Town Co-operative Bank Ltd., Kerala on July 24, 2026. The extension runs three months, from close of business on July 30, 2026 to close …
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SEBI issues final quasi-judicial order against front-running of Axis Mutual Fund trades
SEBI's Enforcement Division issued a final order on July 24, 2026 concluding proceedings against parties who front-ran trades of Axis Mutual Fund. The order resolves a named enforcement action and establishes a concluded…
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SEBI issues ex parte interim order against Stark Investments and associates for unregistered investment advisory and portfolio management operations
SEBI issued an ex parte interim order on July 24, 2026 against Stark Investments and associated persons for conducting unregistered investment advisory and portfolio management services. The order reflects SEBI's sustain…
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SEBI issues quasi-judicial enforcement order against Nalwa Sons Investments Limited
SEBI's Enforcement Division issued a quasi-judicial order on July 24, 2026 against Nalwa Sons Investments Limited. The specific findings, charges, and remedial directions are not disclosed in the available source text.
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SEBI issues quasi-judicial enforcement order against Hexa Tradex Limited
SEBI's Enforcement Division issued a quasi-judicial order against Hexa Tradex Limited on July 24, 2026. The order originates from SEBI's enforcement directorate, confirming a formal adjudicatory proceeding against the na…
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SEBI issues final order against Madhav Stock Vision and associates for front-running violations
On July 24, 2026, SEBI's Chairperson or a Member issued a final order against Madhav Stock Vision Pvt. Ltd. and associated parties for front-running conduct. The order concludes an enforcement proceeding and carries bind…
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SFC issues binding circular restructuring compliance baseline for listed structured funds in Hong Kong
On July 24, 2026, the Securities and Futures Commission issued a circular setting out conduct, disclosure, and structural requirements for listed structured funds operating in Hong Kong.
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