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Anti-Bribery & Corruption
Korea’s KT Corp to Pay $6.3m for FCPA Violations
By Editors | 21/02/2022
KT Corp maintained slush funds for nearly a decade which were used by executives and employees to bribe Korean and Vietnamese officials.
Anti-Money Laundering
US DOJ Appoints First Director of National Crypto Enforcement Team
By Editors | 20/02/2022
The FBI has meanwhile created a new “Virtual Asset Exploitation Unit”, which will provide analysis, support, training and new tools to stay ahead of future crypto-related threats.
Fraud, Scams & Cybercrime
FSC Korea Fines IBK and Fund Manager Over Mis-sold Funds
By Editors | 20/02/2022
Industrial Bank of Korea also has to suspend its private fund sales operations for 1 month. Discovery Asset Management and its CEO are suspended for 3 months.
Cryptocurrency
NYSE Seeks Trademark Licences for Digital Marketplace
By Sanday Chongo Kabange | 18/02/2022
A filing with the US Patent and Trademark Office suggests the NYSE may be planning to launch an NFT marketplace as well as its own cryptocurrency.
Market Abuse
US Agencies Probe Block Trading Practices at Banks, Hedge Funds
By Editors | 17/02/2022
The DOJ and SEC are reportedly examining whether banks may have improperly alerted hedge funds ahead of market-moving block trades.
Cryptocurrency
Thai SEC Proposes New Rules on Crypto-related Advertising
By Manesh Samtani | 15/02/2022
Advertisements related to cryptocurrencies in public areas will be prohibited, but advertising of services “can still be carried out normally”.
Structural Regulation
Thailand SEC Proposes Revisions to Private Placement Rules
By Sanday Chongo Kabange | 15/02/2022
The changes streamline filing processes for offerings of newly issued shares through private placements, while bolstering investor protections.
Sustainable Finance
Philippine SEC Consults on ASEAN Sustainable Fund Standards
By Editors | 14/02/2022
The SEC seeks views from investment firms and fund managers on their expectations for sustainable funds, including issuance trends, investment drivers, and regulatory requirements.
Trading & Investment
Thailand SEC Approves Rules for New SME Board
By Editors | 14/02/2022
The LiVE Exchange will provide a new channel for SMEs and startups to raise capital. Only qualified investors will be allowed to participate in trading.
Sustainable Finance
Thai SEC, UNDP Agree to Support Sustainable Capital Markets
By Editors | 10/02/2022
The UNDP and SEC will co-create a web-based tool to help listed companies measure and manage their impact on the SDGs, among other tools.
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