All posts tagged "SEC"
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600AML / KYCPhilippine 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 -
396Securities / DerivativesThai SEC to Allow Use of Foreign Custodians in DR Issuance
Under revised guidelines, depository receipt issuers can directly appoint a global custodian or foreign agent to hold overseas securities.
April 11, 2022 -
482Crypto / Digital Assets
Thai Crypto Firms Required to Issue Transaction Reports to Clients
From 1 May, crypto businesses have to submit reports to customers within one day after a transaction is complete, allowing them to view records going back 18 months.
April 8, 2022 -
239Securities / Derivatives
Thai SEC to Relax Rules on Mutual Fund Advertising
The changes are being made to reduce regulatory burden and minimise duplication of regulations, the SEC said.
April 5, 2022 -
550ChinaCSRC Proposes Rule Amendments to Resolve US Audit Dispute
The draft amendments will allow US regulators to inspect the audit working papers of Chinese companies listed in the US.
April 5, 2022 -
265Enforcement
Philippine SEC to Form Dedicated Unit Targeting Abusive Lending
The government is seeking to prevent and penalise abusive debt collection practices, misrepresentations, and unreasonable terms and conditions.
April 5, 2022 -
448ChinaCSRC Says Talks With US Regulators Have Progressed ‘Smoothly’
The CSRC was responding to a question about comments from SEC chair Gary Gensler which appeared to cast doubt that a deal on audit supervision was imminent.
April 4, 2022 -
244Market InfrastructureThai SEC Launches New Portal for Cyber Incident Reporting
The portal will also be used to disseminate information about preventive measures firms can take to reduce the risks and impacts of cyber threats.
April 3, 2022 -
511Securities / DerivativesUS SEC Proposes Enhanced Protections for SPAC Investors
The proposal aims to provide SPAC investors additional disclosures and protections similar to those they would receive in an IPO.
April 1, 2022 -
315Crypto / Digital Assets
Thailand SEC Unveils 2022-2024 Strategic Plan
The SEC will seek to enhance competitiveness, ensure inclusiveness, and strengthen trust and confidence in the capital market.
March 29, 2022
