SECURITIES AND EXCHANGE COMMISSION

IOSCO Gains 100th MMoU Signatory in Fight Against Financial Misconduct

By Editors | 26/01/2014

The Indonesian Financial Services Authority has become the 100th signatory to the IOSCO Multilateral Memorandum of Understanding (MMoU) on cooperation and exchange of information.

‘Big Four’ Accounting Firms To Appeal Against SEC China Ruling

By Editors | 24/01/2014

The “Big Four” accounting firms said they will fight a ruling by the US Securities and Exchange commission suspending their Chinese units for six months.

SEC Halts Worldwide Pyramid Scheme

By Editors | 21/10/2013

The Securities and Exchange Commission today announced charges and asset freezes against the operators and promoters of a worldwide pyramid […]

Securities / Derivatives

Regulators from Asia attend meeting at ESMA

By Editors | 03/10/2013

Principals and senior representatives of authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the […]

Securities / Derivatives

ASEAN MoU to Establish Cross-Border Collective Investment Schemes

By Editors | 01/10/2013

The ASEAN Capital Markets Forum (“ACMF”) announced that the Securities Commission of Malaysia, the Monetary Authority of Singapore and the […]

SEC Freezes Assets in Ponzi Scheme Targeting Investors in Japan

By Editors | 27/09/2013

The Securities and Exchange Commission today announced an emergency action to freeze the assets of a Las Vegas-based firm and […]

Thailand Based Trader Pays $5.2M SEC Settlement

By Editors | 06/09/2013

The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC […]