organisation: securities and exchange commission (SEC)
August 15, 2023
New SEC cyber security rules likened to banks ‘airing dirty laundry in public’
US banks have bitterly complained over new cyber security rules from the Securities and Exchange Commission - claiming that a...
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June 14, 2023
SEC vs Binance & Coinbase: regulatory overreach, or tip of the iceberg?
The US Securities and Exchange Commission’s (SEC's) charges last week against cryptocurrency exchanges Binance and Coinbase represent the boldest attempt...
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April 19, 2023
SEC sets challenging deadline on T+1 settlement
Industry preparations for the transition to T+1 settlement for US securities transactions have been underway for more than two years,...
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March 29, 2023
US crypto crackdown leaves many unanswered questions
US regulators, particularly the SEC, are ramping up enforcement actions against cryptocurrency firms since the demise of FTX. From industry...
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March 2, 2023
Securities industry asks big questions about SEC’s equity market reforms
Industry body seeking more time and data to understand the true impact of the major package of proposals. Most market...
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February 28, 2023
WhatsApp fines: is the regulatory net widening?
US broker-dealers were under the spotlight last year for electronic communications record-keeping failures, but they are not the only firms...
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February 3, 2023
US ESG backlash: a tide-turning moment?
Anti-ESG sentiment dramatically came to the surface in the US last year with a series of high-profile Republican-led manoeuvres. But...
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