All posts tagged "US SEC"
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415EnforcementUS SEC Penalises Online Broker Over Meme Stock Restrictions
In January 2021, TradeZero America halted trading in three meme stocks for about 10 minutes, but later told investors it had resisted instructions from its clearing broker to do so.
June 1, 2022 -
758ChinaChina to Concede to US Regulators on Audit Supervision Issue
Chinese regulators plan to allow some companies to provide some audit information to the PCAOB, and provide additional clarity on what information can and cannot be disclosed overseas.
March 17, 2022 -
770ChinaUS Bourses Explore IPOs from SE Asia Amid Chinese Withdrawal
Continued regulatory scrutiny from Chinese and US regulators has reportedly compelled US exchanges to explore IPO hopefuls from India, Indonesia, Vietnam and Malaysia.
December 24, 2021 -
541FeatureBank Losses from Archegos Collapse to Exceed $10bn
New disclosures from UBS and Nomura have raised estimates of the total losses to banks to over $10.5bn.
April 29, 2021 -
938Hong KongUS SEC Cautions Against Governance Risks from Dual Class Shares – Report
SEC commissioner Robert Jackson Jr reportedly urged Singapore and Hong Kong to maintain close oversight over companies with dual class share structures to mitigate against corporate governance risks.
September 26, 2018 -
738KoreaKRX Obtains SEC Class Relief on Index, Stock Options
Korea Exchange members can now directly market options on local indexes and 31 individual stocks to US institutional investors.
September 21, 2018 -
685Asia-PacificRISE HK: Regulation Needed to Clean Up Crypto Sector
At the RISE conference in Hong Kong this week, industry participants called for regulation in the crypto sector "earlier rather than later", to avoid backlash which could set the industry back.
July 12, 2018 -
567IndiaNSE Receives CFTC Approval to Sell Futures to US Customers
NSE can sell futures products to US investors without the later having to register separately as a futures merchant; CFTC approval hinges on information exchange on NSE transactions with SEBI.
May 21, 2018 -
AML / KYC
China Joins Stampede to Regulate ICOs
Regulators to introduce rules on ICOs/ITOs which raised nearly $400mn in 1st half of 2017; follows moves by the US and Singapore in July.
August 31, 2017 -
AML / KYC
US ICO Ruling Opens ‘Can of Worms’ for Asia
July 27, 2017
