All posts tagged "SEC"
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1.3KAsia-PacificPhilippines Fintech Push Makes it a Compelling Market to Watch
Industry veteran Philip Keller explores the approach taken by regulators in the Philippines to encourage fintech innovation and financial sector digitalisation.
March 19, 2019 -
557Asia-PacificStock Exchange of Thailand to Launch Digital Asset Platform by 2020
The SET says it will build a comprehensive digital asset ecosystem around the new platform as part of its digitalisation strategy, as the country approves its first 'ICO portal'.
March 15, 2019 -
485Asia-PacificThailand to Allow Scripless Issuance, Tokenisation of Securities
The National Legislative Assembly has endorsed an amendment that will enable the scripless issuance and tokenisation of primary market securities, as early as this year.
February 26, 2019 -
563EnforcementUS SEC Charges Deloitte Japan for Auditor Independence Violations
Deloitte Japan agreed to pay $2mn to settle charges related to audit reports it issued while dozens of its employees maintained financial relationships with the audit client.
February 14, 2019 -
321InternationalImplementation of Secondary Market Principles “Generally High” – IOSCO
IOSCO has identified some gaps in the implementation of its 'Secondary and Other Market Principles', particularly in nascent and emerging market jurisdictions.
February 13, 2019 -
595Asia-PacificAsia Region Funds Passport Goes Live
Japan, Thailand, Australia ready to receive applications from prospective ARFP funds; New Zealand, S. Korea making progress on legal and regulatory requirements.
February 4, 2019 -
301Asia-PacificSingapore, Philippine Bourses Collaborate on Equity Derivatives
The SGX and PSE are working on developing new equity index derivatives for listing in the Philippines to offer a more diverse product line to international investors.
January 15, 2019 -
761Asia-PacificPhilippines SEC Extends Consultation on ICO Rules
The second round of public consultation is open until 15 January, after stakeholders asked for more time to study the draft rules.
December 31, 2018 -
473EnforcementIT Consultant of Singapore Investment Bank Charged with Insider Trading
The US SEC has filed charges against an outsourced IT contractor for trading on inside information while working at the Singapore branch of an investment bank.
December 10, 2018 -
337Asia-PacificPhilippines Enhances Fair Value Pricing of Financial Instruments
The new guidelines tweak rules on marking to market to align with international standards, promote transparency and confidence in the markets, and encourage active market trading.
November 16, 2018
