All posts tagged "SEC"
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61AML / KYCThailand to Tighten Crypto Exchange Account Opening Rules
Crypto exchanges will reportedly be required to verify customers’ identities using special machines that require Thai national IDs and physical presence.
May 6, 2021 -
61Market InfrastructureIndustry Groups Collaborate to Plan Move to T+1 in US Equities
SIFMA, ICI and DTCC plan to complete their analysis on the next steps needed to shorten the settlement cycle in US equities by the end of Q3 2021.
May 1, 2021 -
60Asia-PacificLuxSE Displays First Sustainability Bond from Thailand on LGX
Thailand opted to list the sustainability bond on the Luxembourg Green Exchange to strengthen access to the international investor community.
April 30, 2021 -
56Asia-PacificSEC Thailand Seeks Investigative, Prosecutorial Powers
The SEC seeks powers to investigate and prosecute its own cases and speed up enforcement against capital market violations.
April 30, 2021 -
213FeatureBank Losses from Archegos Collapse to Exceed $10bn
New disclosures from UBS and Nomura have raised estimates of the total losses to banks to over $10.5bn.
April 29, 2021 -
99Fintech / RegtechUS House Passes Bill to Foster Innovation in Digital Assets
The bill will require the SEC and CFTC to establish a digital asset working group to ensure collaboration between regulators and the private sector on digital assets.
April 26, 2021 -
113FeatureGary Gensler Sworn Into Office as New SEC Chair
Gary Gensler was sworn in as the new SEC chairman three days after the US Senate voted to approve his nomination.
April 19, 2021 -
142Securities & TradingUS SEC Warns of Misleading Statement Regarding ESG Investing
Many financial firms may be offering ESG products only because it is lucrative to do so, says SEC commissioner Hester Peirce.
April 15, 2021 -
123Securities & Trading
US SEC Identifies Accounting Issues with SPAC Listings
Some warrants issued to early SPAC investors may have been recorded as equity instruments when they should have instead been recorded as liabilities.
April 15, 2021 -
162AML / KYCThailand to Require UBO Transparency in Bond Markets
Non-residents who invest in debt securities in Thailand are required to open Segregated Securities Accounts with custodians at the UBO level.
April 14, 2021
