All posts tagged "underwriters"
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253Securities & TradingUS Investment Banks Pause Work on New SPAC Deals
New rules from the SEC have reportedly prompted Goldman, Bank of America and Citigroup to scale back their involvement in SPAC deals.
May 18, 2022 -
357ChinaCSRC, SSE Warn Underwriters Against Overpricing IPOs: Report
The CSRC said underwriters need to improve their IPO pricing skills. The SSE is considering using IPO performance to assess underwriting quality.
April 29, 2022 -
482TaiwanTaiwan FSC Directs FIs to Protect Elderly Consumers
FIs have been selling unsuitable products to elderly customers without conducting a proper risk assessment and sometimes categorising them as professional investors.
April 8, 2022 -
462Securities & TradingUS 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 -
694FeatureTaiwan FSC Unveils Plans to Develop ESG Focused Industry Culture
Investment firms will have to take ESG and climate considerations into account in investment decisions - even for non-ESG-themed fund products and proprietary trades.
March 10, 2022 -
562JapanJapan FTC Warns of Possible Antitrust Breaches in IPO Pricing
The FTC expressed concerns that securities firms could use their superior bargaining power to set IPO prices excessively low and disadvantage issuers.
February 3, 2022 -
216Australia & NZNZ FMA Finds “Poor Value” in Credit Card Repayment Insurance
Underwriters and distributors are directed to ensure their systems, processes and controls facilitate good customer outcomes.
September 24, 2021 -
383ChinaCSRC Probes Haitong Securities in Financial Reporting Fraud Case
Haitong is suspected of negligence and violations of law and regulations when it served as financial adviser on a deal to help a client on a backdoor listing deal.
September 10, 2021 -
379Securities & TradingTaiwan FSC Plans Relaxation of Share Issuance Rules
Under a new mechanism, listed companies would be able to secure approval for multiple batches of share issuances at once without having to apply for each one individually.
September 5, 2021 -
250ChinaCSRC Considers Barring Data-Heavy Firms from Listing Overseas
The CSRC is drafting rules that would prohibit Internet firms holding large amounts of user-related data from listing overseas, targeting firms with VIE structures.
August 31, 2021
