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United States
Securities / Derivatives
Sri Lanka SEC Approves New Listing Rules for SOEs
By Duruthu E Chandrasekera | 14/09/2023
A new transitionary board will be set up, allowing SOEs to list and progressively transition to a listing on one of the CSE’s existing boards.
Fintech / Regtech
SEC Philippines Allows Crowdfunding Platforms to Act as Registrars
By Sanday Chongo Kabange | 14/09/2023
To date, only traditional financial intermediaries have been allowed to act as registrars under the securities regulation code.
Securities / Derivatives
Industry Bodies Call on SEC to Reassess Custody Rule Proposal
By Editors | 14/09/2023
A letter from 26 trade associations calls on the SEC to re-evaluate the costs and economic impacts of its custody rule proposal.
Fintech / Regtech
US SEC Grants Nasdaq Approval to Launch AI-Powered Order Type
By Sanday Chongo Kabange | 14/09/2023
The order type enhances liquidity, execution quality improvement outcomes, and fill rates by adjusting dynamically to real-time market conditions.
Capital / Liquidity
US Banks Call for Release of Evidence to Support Basel Proposal
By Editors | 13/09/2023
Prominent banking associations are demanding the release of the data and analysis to support changes to capital requirements for large banks.
Enforcement
US SEC Charges Virtu For Not Protecting Confidential Customer Data
By Manesh Samtani | 13/09/2023
Virtu describes the lawsuit as retaliation for the company’s public criticism of the SEC’s market structure rule proposals.
Enforcement
Thai SEC Charges Four Brokerage Execs for Stock Manipulation
By Mark Johnston | 13/09/2023
Criminal charges were filed against four executives of a brokerage firm, including its CEO, for manipulating prices during a 2018 IPO.
Market Infrastructure
CME, DTCC Receive Approval for Cross-Margining Arrangement
By Editors | 13/09/2023
The arrangement will enable capital efficiencies for clearing members that trade and clear both US Treasury securities and CME Group interest rate futures.
Crypto / Digital Assets
JPMorgan Seeks Regulatory Approval to Launch ‘Digital Deposit Token’
By Editors | 13/09/2023
The deposit token would represent a digital claim against a commercial bank deposit, and could be used for instant payments and settlements across the financial system.
ESG / Sustainability
Sri Lanka Revises Corporate Governance Rules for Listed Companies
By Duruthu E Chandrasekera | 12/09/2023
The revisions will help to build investor confidence and better align corporate governance practices in Sri Lanka with international standards.
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