All posts tagged "Investor Protection"
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243Securities & TradingUS Investment Banks Pause Work on New SPAC Deals
New rules from the SEC have reportedly prompted Goldman, Bank of America and Citigroup to scale back their involvement in SPAC deals.
May 18, 2022 -
567AML / KYCISDA AGM Highlights Global Scrutiny of Crypto Sector
Senior officials from the FSB, Basel Committee, US SEC, and CFTC spoke at ISDA's AGM about the need for more regulation in the crypto sector.
May 14, 2022 -
385Fintech / RegtechThai SEC Prepares to Implement New Rules on Crypto-related Advertising
The SEC will extend the transitional period to allow crypto firms more time to ensure their advertising content aligns with the new rules.
May 11, 2022 -
285ChinaCSRC Set Out Regulatory Obligations of Delisted Companies
Companies must comply with disclosure and governance requirements after delisting to protect investors rights and safeguard social stability.
May 5, 2022 -
417Fintech / RegtechFSC Korea Issues New Rules for Fractional Investing Services
The FSC will classify fractional investment products as securities on a case-by-case basis and require issuing firms to adopt investor protection measures.
May 5, 2022 -
418EnforcementUS Authorities File Charges Against Archegos, Key Executives
The DOJ, CFTC and SEC charged Archegos and four of its executives for defrauding banks and brokers and manipulating the prices of publicly traded securities.
April 28, 2022 -
442China
CSRC Finalises New Rules on Investor Relations Management
The guidelines require listed companies to enhance their investor relations practices, including by providing more ESG information in communications.
April 21, 2022 -
1.5KAML / KYCHong Kong is Moving to a Robust Regulatory Framework for Crypto
Etelka Bogardi and Amy Chung say Hong Kong's efforts to regulate the crypto sector and stablecoin market are on the whole in line with international trends while leaving room for further development.
April 20, 2022 -
283Securities & TradingUS SEC Proposes Registration Requirement for Security-Based SEFs
The rules will improve transparency over total return swaps, the instruments partly responsible for last year's blowup at Archegos Capital Management.
April 16, 2022 -
328Australia & NZASIC Extends Product Intervention Order Targeting CFDs
Since the product intervention order took effect in March 2021, ASIC has observed few losses, margin close-outs, and negative balance occurrences affecting retail client.
April 12, 2022
