All posts tagged "SEC"
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378Asia-PacificHong Kong, Thailand Set to Sign Cross-Border Funds Agreement
Hong Kong's SFC and Thailand's SEC plan to sign a mutual recognition of funds agreement within the second quarter of this year.
January 17, 2020 -
329Asia-PacificPhilippine SEC Issues New Corporate Governance Code
The new code comes into effect on 12 January, and gives public companies and registered issuers 6 months to submit a new manual on corporate governance.
January 10, 2020 -
814EnforcementKorea: Lime Asset Faces Legal Action for Concealing Hedge Fund Losses
Lime Asset Management suspended redemptions in three funds in October. One of them had 240bn won invested with New York-based IIG, which has since been charged with securities fraud.
January 6, 2020 -
113Asia-Pacific
Philippine SEC Approves Implementing Guidelines on Short Selling
The new implementing guidelines address concerns over the effect of SBL and short selling transactions on trading participants’ books and records, error transactions, and capital adequacy.
January 6, 2020 -
260Asia-PacificPhilippine Bourse Seeks Higher Capital Requirements for Brokers
In the aftermath of a 700-million-peso stock theft, PSE president Ramon Monzon will reportedly propose to more than triple current capital requirements for older firms.
December 27, 2019 -
162AML / KYCUS SEC Settles FCPA Charges Against Goldman’s Tim Leissner
Leissner has agreed to be permanently barred from the securities industry for violating antibribery, internal accounting controls, and books and records provisions of federal securities laws.
December 18, 2019 -
829AML / KYCBig Data is Transforming Investigations
Big data is rapidly changing how regulators and law enforcement conduct investigations and build cases, say Jeremy Birch, Peter Jones and Kyle Wombolt at Herbert Smith Freehills.
December 12, 2019 -
625Big PictureFund Managers to Remain in Regulatory Spotlight in 2020: Moody’s
Asset managers will remain in the regulatory spotlight as authorities actively work to reduce conflicts of interest in financial advice and elevate supervision of fund liquidity management.
December 10, 2019 -
330Asia-Pacific
Philippine Bourse Proposes Tightening of Delisting Rules
Under the proposed rules, a voluntary delisting must be approved by all independent directors and by stockholders owning at least 75 percent of the total outstanding listed shares.
December 6, 2019 -
261Asia-PacificThailand to Launches DLT Pilot Trading Corporate Bonds
The DLT project was first announced in September, and will first test trading with bonds before expanding to equities, derivatives and investment funds.
November 26, 2019
