All posts tagged "SEC"
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408AML / KYCPhilippines Passes Law to Enhance Financial Consumer Protections
The law grants regulators enhanced powers to address fraud and consumer complaints in a more timely manner.
May 19, 2022 -
370EnforcementAllianz to Pay $6bn to Settle Investor Fraud Cases
Allianz Global Investors admitted that it violated the federal securities laws, and is disqualified from providing advisory services to US funds for ten years.
May 18, 2022 -
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 -
354Securities & 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 -
688AML / KYC
US SEC, DOJ File Fraud Charges Over $62mn Crypto Fraud
MCC International Corp and its founders were charged for selling fraudulent investment plans that promised daily returns from crypto mining and robotic trading.
May 11, 2022 -
385Fintech / Regtech
Thai 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 -
360Securities & TradingThai Stock Exchange Publishes Sustainability Reporting Guide
The guide contains ESG metrics for eight industry groups and should be used to inform listed company practices for disclosing sustainability-related information.
May 10, 2022 -
538Big PictureMandatory Disclosure Needed to Address “Persistent” GHG Reporting Gap
FTSE Russell paper reveals wide variations across countries, sectors and company size for Scope 1 and 2 emissions.
May 10, 2022 -
867ChinaUS-China Talks on Audit Cooperation in ‘Late Stage’ – Reports
The talks are described as "late stage" due to concessions made by the CSRC. The SEC has added over 80 more companies to a list of Chinese firms that could be delisted in New York.
May 9, 2022 -
255Market InfrastructureThai Regulators to Cooperate on Personal Data Protection
Thailand's banking, securities, insurance and data protection authorities have signed a supervisory cooperation MoU ahead of the 1 June implementation of the new PDPA.
May 9, 2022
