All posts tagged "SEC"
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516ChinaFormer Supervisor at ICBC Unit Settles with US SEC
The former supervisor of ICBC’s US broker-dealer unit has agreed to settle charges for failures involving the improper handling of transactions of ADRs.
October 18, 2019 -
548Asia-PacificPhilippine SEC Proposes New Rules for REITs
The SEC hopes to develop a viable REIT market to provide funding for infrastructure projects and investment opportunities for local investors.
October 10, 2019 -
315Capital RegulationVolcker Rule Rewrite Gets Final Approval After Fed Sign-off
The revisions continue to prohibit proprietary trading, while providing greater clarity and certainty for activities allowed under the law.
October 10, 2019 -
383Asia-PacificBSP Enhances Rules on Voluntary Surrender of Banking Licences
The guidelines are aimed at improving protections for depositors and creditors of banks that have decided to cease operations.
September 25, 2019 -
589EuropeUS, UK Agencies Work to Clean Up Credit Derivatives Market
In a joint statement, the SEC, CFTC and FCA have pledged to work together to address “opportunistic strategies" that harm the credit derivatives market.
September 24, 2019 -
390EnforcementUS SEC Settles Charges Against Nissan, Former CEO
As settlement for underreporting CEO compensation, Nissan agreed to pay $15mn, while ex-CEO Carlos Ghosn will pay $1mn and get a 10-year officer and director bar.
September 24, 2019 -
1.4KAsia-PacificThailand, Cambodia Sign MoU on Cross-Border Listings
A working group will be formed to implement mechanisms for cross-border equity offerings, dual listings and depositary receipts between the two countries.
September 20, 2019 -
327Asia-PacificPhilippines Moves to End Abusive Practices by Fintech Lenders
A code of ethics and code of conduct have been adopted by members of FinTechAlliance.ph prohibiting the harassment and shaming of delinquent borrowers.
September 18, 2019 -
835Asia-PacificThailand to Digitise Capital Market Processes with DLT
The project aims to reduce the documentary procedures required in processes related to share issuances and offerings, securities registration, settlement and delivery, and KYC.
September 5, 2019 -
520Asia-PacificSri Lanka Proposes Easing of Stock Market Listing Criteria
Companies will no longer be required to have three years of consecutive profits to list on the main board of the Colombo Stock Exchange.
September 5, 2019
