All posts tagged "Exchanges"
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359Securities & TradingSEC Thailand Proposes Stricter IT Security Rules for Capital Market
The revised rules apply to securities and derivatives businesses, digital asset operators, clearinghouses, depositories, exchanges, digital token platforms, and crowdfunding platforms.
May 12, 2022 -
494EnforcementUS SEC Expands Enforcement Unit Dedicated to Crypto, Cyber
The additional resources will be used to prioritise investigations related to crypto asset offerings, exchanges, lending and staking products, as well as DeFi platforms, NFTs and stablecoins.
May 5, 2022 -
347IndiaIndia Urged to Allow SPAC Listings, Discounted Share Issuances
The MCA's Company Law Committee says says Indian SPACs should be recognised and allowed to list on domestic and global exchanges.
April 22, 2022 -
573Big PictureWFE Publishes Paper on Human Rights Disclosure Practices
The paper addresses social washing concerns and offers guidance for exchanges on reporting against human-rights related reporting frameworks.
April 20, 2022 -
242EuropeECB Refuses Energy Traders’ Request for Emergency Liquidity
The European Federation of Energy Traders had asked for a fund that could provide emergency liquidity support to support the functioning of energy markets.
April 8, 2022 -
683Australia & NZAustralia Opens Consultation on Regulatory Regime for Crypto
The consultation proposes minimum standards of conduct, AML compliance obligations, and fit and proper requirements for directors and key persons.
March 22, 2022 -
601EnforcementFINRA Fines Deutsche Bank Securities for Best Execution Failures
The firm routed customer orders to its own ATS before routing any part of the order to an exchange of the customer’s preference, FINRA said.
March 10, 2022 -
790FeatureBest Execution Requirements Come into Force in Singapore
MAS finalised the best execution requirements in September 2020, giving firms an 18-month transitional period for compliance.
March 8, 2022 -
757Fintech / RegtechICE Makes ‘Strategic Investment’ in Digital Securities Platform tZero
tZERO operates a digital marketplace for unique private assets, public equities, cryptocurrencies, and other digital assets, including NFTs.
February 25, 2022 -
512Australia & NZASIC Proposes Revisions For ETP Naming Conventions
ASIC proposes to revise the ETP naming conventions by dividing them into two levels of labelling: primary labels and secondary labels.
January 24, 2022
