All posts tagged "enforcement"
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246EnforcementSEBI to Shorten Time Allowed to Settle Enforcement Proceedings
SEBI proposes to reduce the timeline allowed for entities to file applications to settle enforcement proceedings from 180 to 60 days.
September 17, 2021 -
303Securities / DerivativesSEC Committee Endorses Stricter Enforcement of SPAC Rules
The investor advisory committee recommended increased enforcement of existing disclosure rules for SPACs, including in relation to the sponsor's role.
September 14, 2021 -
377Asia-PacificSri Lanka Passes New SEC Act to Bolster Capital Market
SEC chairman Viraj Dayaratna described the new law as “futuristic”, saying it will help to increase market liquidity and attract foreign investment.
September 9, 2021 -
251ChinaCSRC to Bolster Supervision of Securities, Fund Practitioners
The CSRC will organise on-site inspections to ensure securities and fund practitioners adhere to professional ethics obligations and improve governance.
September 8, 2021 -
515AML / KYCGCFFC Calls for Action on Beneficial Ownership Data
Beneficial ownership data should be structured and interoperable, collated in a central register, and accessible to all actors fighting financial crime.
August 26, 2021 -
468AML / KYCHong Kong Passes Bill to Curb Illegal Wildlife Trade
The bill enables law enforcement to inspect the IWT-associated financial flows of individuals and companies and confiscate their proceeds of crime.
August 19, 2021 -
256Australia & NZASIC Prosecutes 124 Individuals for Failing to Cooperate with Liquidators
Company officers failed to provide registered liquidators access to the company's books and submit reports on company activities and property.
August 18, 2021 -
391EuropeJapan, UK Regulators Exchange Letters on CRA Supervision
The letters set out a framework for cooperation on regulatory, supervisory and enforcement matters in relation to credit rating agencies.
August 12, 2021 -
1.1KAML / KYCSFC Calls on Industry to Report Suspected Ramp-and-dump Activity
Ramp-and-dump scams now account for about half of the market manipulation cases being investigated by the SFC. Overseas investors also being targeted.
July 27, 2021 -
676Contributed ArticleHong Kong Stock Exchange Issues Revised Enforcement Policy
Herbert Smith Freehills partners explain the implications of the Hong Kong Stock Exchange's updated policy statement on Listing Rule enforcement.
July 16, 2021
