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Trading & Investment
Thai SEC to Relax Rules on Mutual Fund Advertising
By Editors | 05/04/2022
The changes are being made to reduce regulatory burden and minimise duplication of regulations, the SEC said.
Structural Regulation
CSRC Proposes Rule Amendments to Resolve US Audit Dispute
By Darien Choong | 05/04/2022
The draft amendments will allow US regulators to inspect the audit working papers of Chinese companies listed in the US.
PEPs & Sanctions
Japan, US Impose More Sanctions Over DPRK Missile Tests
By Mark Johnston | 05/04/2022
Japan sanctioned 4 Russia-based entities and 9 other individuals. The US sanctioned 5 more North Korean entities.
Supervision & Enforcement
Philippine SEC to Form Dedicated Unit Targeting Abusive Lending
By Editors | 04/04/2022
The government is seeking to prevent and penalise abusive debt collection practices, misrepresentations, and unreasonable terms and conditions.
CBDCs
Visa, Western Union, GBBC Join Digital Dollar Project
By Editors | 03/04/2022
The new members were announced just weeks after President Joe Biden signed an executive order outlining a “whole-of-government approach” to evaluate digital assets including a CBDC.
Structural Regulation
CSRC Says Talks With US Regulators Have Progressed ‘Smoothly’
By Editors | 03/04/2022
The CSRC was responding to a question about comments from SEC chair Gary Gensler which appeared to cast doubt that a deal on audit supervision was imminent.
PEPs & Sanctions
US Designates Russian Tech Firms for Enabling Sanctions Evasion
By Manesh Samtani | 03/04/2022
US sanctions 21 entities and 13 individuals. EU to propose new measures this week. Australia applies 35% export tariff.
Cybersecurity
Thai SEC Launches New Portal for Cyber Incident Reporting
By Editors | 03/04/2022
The portal will also be used to disseminate information about preventive measures firms can take to reduce the risks and impacts of cyber threats.
Fraud, Scams & Cybercrime
US DOJ Charges Two for NFT Fraud, Money Laundering
By Sanday Chongo Kabange | 01/04/2022
The two defendants promised benefits to NFTs buyers and then transferred the $1.1mn in crypto proceeds to various wallets under their control.
Structural Regulation
US SEC Proposes Enhanced Protections for SPAC Investors
By Editors | 31/03/2022
The proposal aims to provide SPAC investors additional disclosures and protections similar to those they would receive in an IPO.
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