All posts tagged "SEC"
-
587Asia-PacificSri Lanka Bourse to Introduce Easier Listing Rules from 15 July
Requirements on capital, profitability and net assets have been relaxed to pave the way for new listings from start-ups and tech firms.
July 4, 2020 -
362Asia-PacificPhilippine SEC Seeks Independent Board at Stock Exchange
The Philippine Stock Exchange currently has three independent directors on its 15-seat board. Under the proposed rules, a majority of the directors will have to be independent.
July 1, 2020 -
468Capital RegulationUS Regulators Approve Volcker Rule Revisions
The latest amendment allows banks to invest in venture capital and credit funds and reduces the amount of capital they have to set aside against inter-affiliate swap trades.
June 30, 2020 -
393Asia-PacificThailand SEC Supports LuxSE Listings by Domestic Firms
Thai bond issuers can list their securities on LuxSE's BdL or Euro MTF; or alternatively obtain a profile listing on the SOL to gain visibility on the Luxembourg Green Exchange.
June 11, 2020 -
767Asia-Pacific
Sri Lanka SEC Approves Rules to Digitalise Stock Market
Sri Lanka’s SEC has approved rules to enable electronic account opening, trading and settlement at the Colombo Stock Exchange.
June 8, 2020 -
986Asia-PacificThailand to Launch Digital Platform for Capital Markets Licensing
The 'Prof Link' platform will include licence information for over 80,000 capital markets professionals, incorporating professional development and training.
June 5, 2020 -
477Market InfrastructureMEMX Sets Launch Date for New Equities Exchange
Platform testing will begin on 29 June, followed by member certification and user acceptance tests, ahead of a 4 September launch date.
June 2, 2020 -
546ChinaNew Listing Rules at Nasdaq to Impede Chinese IPOs – Reports
Nasdaq will put a minimum $25mn value on the size of IPOs, making it harder for some Chinese firms to pursue a listing. A delisting notice has been filed against Luckin Coffee.
May 20, 2020 -
391Asia-Pacific
Sri Lankan Bourse Reopens to Trading Halts After 7-week Haitus
The Colombo Stock Exchange opened for trading for the first time in seven weeks on Monday, triggering trading halts on its new circuit breaker mechanism.
May 14, 2020 -
448EnforcementUS SEC Penalises Bloomberg Tradebook Over Order Routing
Bloomberg Tradebook let unaffiliated brokers make decisions about the routing of certain customer trade orders in a way that lowered its own costs, without informing affected customers.
May 8, 2020
