All posts tagged "SEC"
-
356Securities / DerivativesUS SEC Unveils Plans to Address Payment for Order Flow
Brokers will have to send orders from retail investors to "open and transparent" auctions and meet stronger best execution obligations.
June 10, 2022 -
313Crypto / Digital AssetsUS SEC Reportedly Probing Binance 2017 Token Offering
The SEC is also investigating market making companies owned by Binance's CEO and whether company insiders may have engaged in trading abuses.
June 9, 2022 -
426AML / KYCUS Senators Propose Regulatory Framework for Crypto Assets
The CFTC would be granted authority over crypto spot markets, based on the understanding that "most digital assets are more similar to commodities than securities".
June 8, 2022 -
889Big PictureESG Ratings Diverge Substantially, with Real-Economy Impact
Analysis across KLD, Sustainalytics, Moody’s ESG, S&P Global, Refinitiv and MSCI finds significant differences in how indicators are measured.
June 5, 2022 -
449EnforcementDWS CEO Quits Over Greenwashing Accusations
Resignation sparked by German police raids to investigate claims over mis-representation of ESG funds.
June 3, 2022 -
412Enforcement
German Prosecutors Raid DWS Offices Over ESG Claims
"Sufficient factual evidence" has emerged that ESG factors were not taken into account in many investments, contrary to claims made in DWS fund prospectuses.
June 1, 2022 -
412EnforcementUS SEC Penalises Online Broker Over Meme Stock Restrictions
In January 2021, TradeZero America halted trading in three meme stocks for about 10 minutes, but later told investors it had resisted instructions from its clearing broker to do so.
June 1, 2022 -
468Australia & NZASX to Scrutinise ETF Labels to Tackle Greenwashing – Report
ASX will scrutinise listed instruments to ensure they are “true to label” and only list new funds that comply with ASIC’s naming requirements.
May 31, 2022 -
623Crypto / Digital AssetsCrypto Ads to be Screened in the Philippines from 7 July
Firms advertising crypto services to Philippine users will have to provide proof they have registered with the SEC as companies and with BSP as remittance and transfer providers.
May 30, 2022 -
451ESG / Sustainability
US SEC Funds Proposals Aim to Tackle Greenwashing
Asset managers will be required to justify their use of ESG labels under new proposals from the SEC.
May 27, 2022
