All posts tagged "SEC"
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55Asia-PacificThai SEC Consults on Three-tiered Investments by Funds
The SEC is consulting on whether to allow mutual funds to make three-tiered investments in funds under the same company's management.
October 21, 2021 -
71Securities & TradingNYSE Launches First US ETF Linked to Bitcoin with SEC Approval
The ProShares bitcoin ETF had almost $1bn in turnover on the first trading day, after receiving a green light from the SEC last week.
October 21, 2021 -
55Asia-Pacific
Thai SEC to Collaborate with Environmental Organisations
The collaboration will aim to promote good governance, while encouraging businesses to take into account social and environmental considerations.
October 20, 2021 -
121AML / KYCCredit Suisse Settles Charges Over Mozambique ‘Secret Debt’
Transactions that raised over $1bn were used to "perpetrate a hidden debt scheme", pay kickbacks to investment bankers, and bribe government officials.
October 20, 2021 -
128Asia-PacificSri Lanka to Develop Regulatory Framework for Cryptocurrency
The committee will advise Sri Lanka's cabinet on a regulatory framework for Sri Lanka for blockchain, digital banking and crypto mining.
October 15, 2021 -
160EnforcementUS Inspector General Probes Fed Officials’ Stock Trades
The Office of Inspector General will conduct an independent review to determine whether Fed officials violated ethics rules and the law.
October 6, 2021 -
152Asia-Pacific
Thailand, China to Explore Market Connectivity Initiatives
SEC and CSRC officials have agreed to explore the development and implementation of connectivity initiatives between their markets.
October 6, 2021 -
175Securities & TradingUS SEC Moves to Boost Transparency on Proxy Votes
The proposed rule changes will make it easier for asset owners to see how asset managers are voting at AGMs.
October 4, 2021 -
165IndiaOpen Letter from FPIs to SEBI on T+1 Settlement
ASIFMA, Asia TraderForum and The Investment Association have issued an open letter on behalf of FPIs asking SEBI to delay implementation of T+1 settlement.
September 30, 2021 -
194Securities & TradingSEC Issues Climate Reporting ‘Wake-Up Call’ to Listed Companies
Letters from the SEC covering topics such as materiality demonstrate the agency's commitment to climate, says Aniket Shah at Jefferies.
September 30, 2021
