All posts tagged "SEC"
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556Asia-PacificThailand to Expand Collateral Allowed for Margin Trading
The SEC is consulting on allowing debt instruments, government securities, and mutual fund units as collateral for margin accounts at securities firms.
July 16, 2018 -
586Asia-Pacific
Thailand Publishes Regulatory Framework for ICOs
New framework will task companies known as ICO portals with screening issuers and cap retail investment in ICO projects, starting from 16 July.
July 10, 2018 -
722ChinaThe Risky Business of Hiring Chinese Investment Bankers
The real cost of doing business in China was suddenly revealed with Credit Suisse’s settlements totalling $77 million with the SEC and DOJ over its alleged violations of the Foreign Corrupt Practices Act by employing Chinese princelings and princesses.
July 9, 2018 -
523Asia-PacificThailand’s Securities Firms Seek to Launch Joint Crypto Exchange
Security companies in Thailand are looking to join hands in setting up a crypto exchange, believing customers will prefer trading with known securities businesses.
July 3, 2018 -
641AML / KYCNon-EU Markets Regulators Seek Formal GDPR Exemptions – Report
New EU data privacy law could put cross-border investigations in jeopardy, leading non-EU regulators including Japan's FSA and Hong Kong's SFC to press for formal clarification on application of cross-border information sharing exemptions.
June 28, 2018 -
571Asia-PacificSri Lanka Bourse To Launch New Board for SMEs
The Colombo Stock Exchange and the securities regulator are launching an SME board next week to encourage equity financing by small firms and boost growth and corporate governance in the sector.
June 27, 2018 -
571Asia-PacificPhilippine Bourse to Introduce Short Selling
Only members of PSE index and ETFs are eligible for short selling, up to a maximum of 10% of outstanding shares; naked short selling not permitted.
June 26, 2018 -
1.6KAsia-PacificTalking Crypto Regulation with Ripple’s Sagar Sarbhai
Regulation Asia sat down with Sagar Sarbhai, Head of Government and Regulatory Relations for APAC and the Middle East at Ripple, to discuss the company’s business proposition and the regulatory challenges it faces across the region.
May 22, 2018 -
567IndiaNSE Receives CFTC Approval to Sell Futures to US Customers
NSE can sell futures products to US investors without the later having to register separately as a futures merchant; CFTC approval hinges on information exchange on NSE transactions with SEBI.
May 21, 2018 -
Asia-Pacific
Thailand ‘Digital Asset’ Decree Takes Effect
Cryptocurrencies now defined as digital assets, granting the SEC powers to regulate; exchanges have 90 days to register with SEC.
May 17, 2018
