All posts tagged "Securities"

Standard-setters Examine Margin Practices of Market Participants

Market participants are invited to complete a survey as part of a review of margining practices in cleared and uncleared markets.

BaFin Says Binance Stock Tokens Violate Securities Laws

The tokens require the publishing of a prospectus, "minimum information required by law" for the sale of an investment product.

Shanghai Court Granted Jurisdiction to Hear Cross-border Cases

The Shanghai Financial Court is the second Chinese court allowed to handle disputes involving overseas securities and financial institutions.

SFC, HK Police Make Arrest Four More in Ramp-and-dump Probe

Three of the four are senior executives of a listed company. They are said to have embezzled over HKD 19 million of the listed company's funds.

BOJ Warns of Post Covid Risks to Financial Stability

Even after the pandemic subsides, low interest rates will continue to exert downward pressure on FIs' profits, the BOJ says.

Taiwan Launches ‘MyData’ Platform With 15 Banks

The platform allows consumers to use personal data stored by government agencies to facilitate their access to financial services.

US SEC Identifies Accounting Issues with SPAC Listings

Some warrants issued to early SPAC investors may have been recorded as equity instruments when they should have instead been recorded as liabilities.

China Issues Draft Rules on Beneficial Ownership Identification

FIs will be required to verify the identities of all ultimate beneficial owners of accounts opened and maintained for all customers.

ASX Finalises, Defers Listing Rule Changes to June

The listing rule changes deal with online forms, notification of security issues and corporate action timetables.

SEBI Requires Intermediaries to Seek Approval for Change in Control