All posts tagged "Investor Protection"
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458ESG / SustainabilityUS SEC Funds Proposals Aim to Tackle Greenwashing
Asset managers will be required to justify their use of ESG labels under new proposals from the SEC.
May 27, 2022 -
633Crypto / Digital AssetsTerra Collapse Sparks Regulatory Change, Lawsuits in Korea
The FSC says thirteen relevant bills on digital asset investor protection are currently pending at the National Assembly.
May 26, 2022 -
1.1KChinaChina’s Futures and Derivatives Law: A New Era
The new law sets the stage for the continued growth and development of the country's capital market, say Melody Yang and Jonathan Quie.
May 24, 2022 -
292Securities / Derivatives
US 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 -
738AML / 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 -
448Crypto / Digital AssetsThai 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 -
322ChinaCSRC 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 -
504Fintech / 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 -
456EnforcementUS 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 -
474China
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
