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, 2022Firms 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, 2022Asset managers will be required to justify their use of ESG labels under new proposals from the SEC.
May 27, 2022The SEC's YJ Fischer confirmed that progress has been made in talks with Chinese regulators, but warned that time was "quickly running out".
May 26, 2022Despite high levels of investor support, proposed rules on climate-related disclosures have prompted questions of regulatory over-reach.
May 26, 2022BNY Mellon Investment Adviser stated in documents that all investments in its funds had undergone an ESG quality review, but that this was not always the case.
May 25, 2022Wells Fargo Advisors was fined for failing to timely file 34 SARs. This is the second BSA action against the firm in the last five years.
May 24, 2022The probe is reportedly aimed at gauging how pervasive the use of unauthorised messaging platforms is for business-related messages.
May 24, 2022The law grants regulators enhanced powers to address fraud and consumer complaints in a more timely manner.
May 19, 2022Allianz Global Investors admitted that it violated the federal securities laws, and is disqualified from providing advisory services to US funds for ten years.
May 18, 2022