All posts tagged "SEC"
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418EnforcementUS SEC Charges Brazil’s Vale for “Misleading” ESG Disclosures
Brazilian mining firm Vale regularly misled local governments, communities, and investors about the safety of its Brumadinho dam through its ESG disclosures.
April 29, 2022 -
456EnforcementUS Authorities File Charges Against Archegos, Key Executives
The DOJ, CFTC and SEC charged Archegos and four of its executives for defrauding banks and brokers and manipulating the prices of publicly traded securities.
April 28, 2022 -
403ESG / SustainabilityISSB Forms Working Group to Prevent Jurisdictional Fragmentation
The working group will seek to align work being done across jurisdictions to set standards in the field of sustainability-related financial disclosures.
April 28, 2022 -
442ChinaCSRC Vice Chair ‘Hopeful’ on US-China Audit Supervision
CSRC vice chair Fang Xinhai said he is "very hopeful" that an agreement can be reached with US regulators in the "near future".
April 26, 2022 -
519Asia-PacificSri Lanka Must Provide ‘Adequate Assurances’ for IMF Assistance
The UNDP says Sri Lanka should introduce a temporary basic income and negotiate “debt-for-nature” swaps. The stock market has been closed all week.
April 22, 2022 -
300Securities / DerivativesUS SEC Proposes Registration Requirement for Security-Based SEFs
The rules will improve transparency over total return swaps, the instruments partly responsible for last year's blowup at Archegos Capital Management.
April 16, 2022 -
436Fintech / RegtechPhilippine SEC Welcomes New Measures to Combat Illegal Loan Apps
Starting 11 May, the Google Play Store will introduce a new screening process for personal loan apps targeting users in the Philippines.
April 15, 2022 -
750ChinaCSRC Accelerates Work to Update Rules for Overseas Listings
To enable US regulators to participate in domestic on-site inspections, CSRC chairman Yi Huiman said China may need to become a signatory to IOSCO's EMMoU.
April 13, 2022 -
460ESG / SustainabilityThai SEC Finalises Disclosure Guidelines for SRI Funds
The guidelines will promote transparency, enable investors to make more informed decisions, and reduce the risk of greenwashing, the SEC says.
April 13, 2022 -
488AML / KYC
Philippine NPO Sector Rated as Medium Risk for Terrorist Financing
The SEC warns that suspected or actual misuse of the NPO sector for terrorism financing can present serious ramifications for an NPO's intended beneficiaries.
April 12, 2022
