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Fraud, Scams & Cybercrime
Allianz to Pay $6bn to Settle Investor Fraud Cases
By Editors | 18/05/2022
Allianz Global Investors admitted that it violated the federal securities laws, and is disqualified from providing advisory services to US funds for ten years.
Trading & Investment
US Investment Banks Pause Work on New SPAC Deals
By Mark Johnston | 17/05/2022
New rules from the SEC have reportedly prompted Goldman, Bank of America and Citigroup to scale back their involvement in SPAC deals.
Anti-Money Laundering
US Treasury Outlines Plans to Combat Illicit Finance
By Editors | 17/05/2022
Treasury highlighted efforts to address illicit finance risks associated with shell companies, all-cash real estate purchases, and virtual assets.
Stablecoins
TerraUSD Collapse Highlights Need for Stablecoin Regulation: Yellen
By Manesh Samtani | 12/05/2022
The world’s fourth largest stablecoin lost its peg this week, trading as low as 23 cents to the dollar on Wednesday.
Cybersecurity
SEC Thailand Proposes Stricter IT Security Rules for Capital Market
By Editors | 11/05/2022
The revised rules apply to securities and derivatives businesses, digital asset operators, clearinghouses, depositories, exchanges, digital token platforms, and crowdfunding platforms.
Trading & Investment
ASIC to Issue Derivatives Reporting Consultation Soon
By Manesh Samtani | 11/05/2022
ASIC’s Alex Orgaz-Barnier says APAC regulators are targeting a common implementation date and alignment to the greatest extent possible.
Fraud, Scams & Cybercrime
US SEC, DOJ File Fraud Charges Over $62mn Crypto Fraud
By Editors | 10/05/2022
MCC International Corp and its founders were charged for selling fraudulent investment plans that promised daily returns from crypto mining and robotic trading.
Cryptocurrency
Thai SEC Prepares to Implement New Rules on Crypto-related Advertising
By Sanday Chongo Kabange | 10/05/2022
The SEC will extend the transitional period to allow crypto firms more time to ensure their advertising content aligns with the new rules.
Reporting & Disclosures
Thai Stock Exchange Publishes Sustainability Reporting Guide
By Editors | 10/05/2022
The guide contains ESG metrics for eight industry groups and should be used to inform listed company practices for disclosing sustainability-related information.
PEPs & Sanctions
US Considers Sanctions Against China’s Hikvision: Reports
By Mark Johnston | 10/05/2022
The possible inclusion of Hikvision on the SDN List would have far-reaching consequences because its equipment is used -in more than 180 countries.
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