All posts tagged "US SEC"
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772Hong 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 -
539KoreaKRX 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 -
516Asia-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 -
404IndiaNSE 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 -
Japan
US Regulator Charges Nomura Traders with Fraud
Traders alleged to have made extra $750,000 in profit and boosted bonuses while deliberately lying to customers.
May 22, 2017 -
Hong Kong
JPMorgan Paying $264mn to Settle ‘Princelings’ Case
US SEC says hiring of interns and other staff in Asia breached corruption act.
November 18, 2016
