All posts tagged "SEC"
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779Asia-PacificColombo 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 -
249Asia-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 -
1.5KChinaUS 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 -
589Securities & 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 -
212Market 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 -
605Securities & 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 -
692Asia-PacificPhilippines Issues Rules on New Investment Vehicle for Corporate Debt
Corporate Debt Vehicles can issue securities to invest in bonds, notes or commercial papers issued by large corporations and medium-sized enterprises.
August 27, 2020 -
695Asia-PacificThailand SEC to Allow Repo, Reverse Repo Trades by Retail Investors
Allowing repo and reverse repo trades in listed securities and unit trusts with all investor types will provide them additional liquidity management tools, the SEC said.
August 26, 2020 -
733FeatureISDA Calls for Global Alignment in UPI, UTI Implementation
ISDA is urging the FSB to "intensify monitoring and coordination of jurisdictional alignment" to the global UTI, UPI and CDE recommendations.
August 26, 2020
