All posts tagged "SEC"
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318Asia-PacificSri Lanka SEC to Procure New Surveillance System
The SEC is planning to hire a consultant to assess its eThe SEC is planning to hire a consultant to assess its existing surveillance system and make recommendations on procuring a new system.xisting surveillance system and make recommendations on procuring...
September 24, 2020 -
441AML / KYCSri Lanka: CSE Enables Digital ID Verification for Account Opening
The CSE and Central Depository System can digitally verify national ID card details against information held by the Department for Registration of Persons.
September 23, 2020 -
884Asia-Pacific
Sri Lanka to Enhance Capital Market Through New SEC Act
The new SEC Act will allow for recognition of new categories of market intermediaries and introduce new enforcement mechanisms to deal with market misconduct.
September 19, 2020 -
691Asia-Pacific
Colombo Stock Exchange Digitalises Core Operations
Account opening and post-trade functions such as clearing and settlement are now electronically enabled. E-contract notes and e-statements have also been adopted.
September 18, 2020 -
209Asia-PacificThailand’s SEC Proposed to Raise Fees on Futures Trading
The SEC wants to replace the annual fixed fee charged to the TFEX with a per-contract fee, which could more than triple the cost to the futures bourse.
September 15, 2020 -
1.2KChinaUS SEC Launches Fraud Probe into Chinese Edutech Firm
Reports first emerged in February alleging that up to 80% of GSX Techedu users are fake, evidenced by attendance data, server records, and admissions by former employees.
September 6, 2020 -
496Securities & TradingUS SEC Stays Implementation of NYSE Direct Listing Rules
The Council of Institutional Investors has objected to the direct listing rules on concerns that companies may circumvent investor protections built into the IPO process.
September 6, 2020 -
188Market InfrastructureNew US Exchange MEMX Postpones Launch for Additional Testing
Wall Street-backed MEMX will begin trading in six symbols on 21 September before trading all National Market System stocks on 29 September.
September 4, 2020 -
1.1KAsia-PacificThailand SEC, UK Govt to Collaborate in Financial Sector
The initial focus areas of the partnership will include green bonds, the fintech ecosystem, e-KYC and cybersecurity, the SEC and UK government said.
September 3, 2020 -
546Securities & Trading
US SEC Approves Rules to Allow Direct Listings on NYSE
Direct listings allow private companies to raise money without going through the high IPO underwriting fees charged by investment banks.
September 1, 2020
