Investments in financial industry sector funds will be prohibited. The SEC will be able to collect employee trading data via an automated electronic system.
February 2, 2023The rules will implement the requirements of the Financial Products and Services Consumer Protection Act, which passed in May last year.
January 31, 2023SEC commissioners Hester Peirce and Mark Uyeda issued a joint statement saying they do not support the action against Bloomberg.
January 25, 2023Korea will abolish the complex registration system for foreign investors, require English disclosures from listed companies, and establish a regulatory framework for security tokens.
January 25, 2023The rules strengthen requirements for firms to protect customers and implement transaction management and process controls.
January 24, 2023The BSEC has formed a-nine member advisory council to help develop the new Islamic capital market.
January 23, 2023SEBI said the proposed ASBA-like mechanism for secondary markets is designed to safeguard client assets from broker misuse and defaults.
January 21, 2023Nexo settled charges from US regulators for $45mn. The company was separately raided by Bulgarian authorities last week.
January 20, 2023JPMorgan won approval to take full ownership of its fund management venture. StanChart won approval to set up a new securities brokerage.
January 20, 2023The rules are aimed at improving the ability of private equity investments to serve the real economy and support innovative businesses.
January 20, 2023