Ahead of COP26 in November, a plethora of regulatory and legislative changes as well as industry-level initiatives will drastically impact the ESG investing space.
January 14, 2021The bank’s employees and agents concealed bribes paid to obtain and maintain lucrative business in Saudi Arabia, Abu Dhabi, Italy and China.
January 12, 2021Stablecoin participants and arrangements should register with FinCEN and comply with AML, sanctions, recordkeeping and reporting requirements.
December 31, 2020Companies will be able to directly sell shares in an auction without a traditional underwriter, enabling investors to participate in new listings more readily.
December 30, 2020The lawsuit will allege that Ripple, its CEO and its Co-founder sold unlicensed securities that should be registered with the SEC.
December 23, 2020The SEC said Robinhood misled customers into believing trading was commission free, while it executed customers’ orders at inferior trade prices costing them $34mn.
December 22, 2020Regulated entities will have to create a separate Information Security Group and appoint a Chief Information Security Officer.
December 21, 2020Luckin materially misstated its revenue, expenses, and net operating loss to falsely appear to achieve rapid growth and increased profitability, the SEC said.
December 18, 2020A dual tranche issuance totalling PHP 9 billion was mirrored on a bond tokenisation platform co-created by UnionBank and SC Ventures.
December 11, 2020The SEC is seeking to require the disclosure of beneficial owners, nominators, principals, and nominee arrangements within 10 days from a company’s registration.
December 9, 2020