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ESG / Sustainability
SEC Issues Climate Reporting ‘Wake-Up Call’ to Listed Companies
By ESG Investor | 29/09/2021
Letters from the SEC covering topics such as materiality demonstrate the agency’s commitment to climate, says Aniket Shah at Jefferies.
Securities / Derivatives
PCAOB Adopts Rule on Delisting ‘Non-compliant’ Chinese Firms
By Sanday Chongo Kabange | 29/09/2021
The new rule could result in mass delistings of Chinese companies from the US market in 2024 unless the PCAOB is granted access to inspect Chinese audits.
AML / KYC
US DOJ Agrees to Release of Huawei’s Meng Wanzhou
By Editors | 27/09/2021
Under a deferred prosecution agreement, Meng admitted to making material misrepresentations to HSBC regarding Huawei’s operations in Iran.
Crypto / Digital Assets
Thai SEC Directs Listed Companies to Disclose Crypto Investments
By Pongnut Thanaboonchai | 25/09/2021
Disclosures should be made through the SET’s online portal, company websites, annual registration statements and annual reports.
Securities / Derivatives
Thailand’s SEC to Simplify Fund Disclosure Requirements
By Pongnut Thanaboonchai | 23/09/2021
The SEC said the information contained in prospectuses and factsheets is repetitive and redundant, making it difficult for investors to digest the information.
AML / KYC
CFTC Investigates Binance for Possible Insider Trading
By Manesh Samtani | 22/09/2021
Binance reportedly has plans to become a licensed financial institution, with a centralised headquarters, to make it easier to work with regulators.
Securities / Derivatives
SEC Philippines Creates Office to Facilitate Capital Raising by SMEs
By Sanday Chongo Kabange | 22/09/2021
The new office will simplify capital raising, streamline registration processes, and promote SME-friendly underwriting and advisory programmes at FIs.
AML / KYC
US Sanctions Crypto Firm Over Ransomware Payments
By Editors | 21/09/2021
OFAC has designated crypto OTC broker Suex, which operates from Russia, for facilitating transactions involving the proceeds of ransomware payments.
Crypto / Digital Assets
Philippine SEC Warns Against Dealing with Unlicensed Entities
By Editors | 21/09/2021
The SEC has warned against dealing with unlicensed forex brokers, crypto exchanges, and DeFi platforms among others.
Securities / Derivatives
US Fed to Review Ethics Rules Following Disclosures by Officials
By Editors | 19/09/2021
Financial disclosures filed by senior Fed officials showed multiple stock trades in 2020 worth millions of dollars, raising concerns over conflicts of interest.
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