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The Latest Breaking News from Securities and Exchange Commission

Kentucky Threatens To Divest From 11 Banks Over Environmental And Social Policies

Kentucky State Treasurer Allison Ball (R) notified 11 banks that their ESG policies had harmed the state’s economy.

Zenger

SEC probes embattled crypto exchange Zipmex

The Securities and Exchange Commission is investigating whether the embattled crypto exchange Zipmex, which is in the midst of being taken over by a Thailand-linked venture capital fund, breached local rules in its offer of certain digital-asset products.

Bangkok Post

Kentucky threatens to divest from 11 banks over ESG policies

On January 2, Kentucky State Treasurer Allison Ball (R) issued a statement notifying 11 banks that their ESG policies amounted to energy boycotts that harmed the state’s economy according to definitions passed into law last spring. The statement says the banks have 90 days to stop what Kentucky argues are…

Ballotpedia

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Disgraced former McDonald’s CEO who had relationships with multiple employees is charged by SEC

The Securities and Exchange Commission is charging McDonald’s former CEO Stephen Easterbrook with making false and misleading statements to investors about the circumstances leading to his firing in November 2019

The Independent UK

SEC charges former McDonald's CEO with misleading investors

The Independent UK

SEC charges former McDonald’s CEO with making false statements about termination

The Securities and Exchange Commission Monday charged former McDonald’s CEO Stephen Easterbrook with making “false and misleading statements” to investors for allegedly failing to disclose the extent of his romantic relationships with employees prior to his 2019 termination.

Chicago Tribune

Former North Carolina Sen. Richard Burr says insider trading investigation ends with ‘no action’

WASHINGTON — Former Sen. Richard Burr announced Friday that an insider trading investigation about a $1.6 million stock sale before the COVID-19 pandemic ended without action against him.

McClatchy Washington Bureau

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Year of tighter regulations

Throughout 2022 digital asset businesses were under scrutiny from the Securities and Exchange Commission (SEC), imposing several new regulations to mirror the international market, with the objective of improving investor protection.

Bangkok Post

SEC issues warning for Zipmex deals

The Securities and Exchange Commission (SEC) is warning investors to carefully review individual agreements proposed by crypto exchange Zipmex before deciding to make a deal with the company.

Bangkok Post

Republicans map out their agenda on ESG and antitrust

The Republican Party’s majority in the House of Representatives will take office in January, and some members and committees have already started laying out their ESG agendas for the new Congress. Among those are members of the Judiciary Committee, who have indicated that they would like to understand better how…

Ballotpedia

THG chief case referred to Amlo

The Securities and Exchange Commission (SEC) has referred the case of Dr Boon Vanasin, former chairman of SET-listed Thonburi Healthcare Group (THG), to the Anti-Money Laundering Office for further investigation.

Bangkok Post

SEC urged to rejig rules after MORE scandal

The Association of Securities Companies (Asco) and its members have proposed the Securities and Exchange Commission (SEC) adjust the regulations regarding stock manipulation in the aftermath of the More Return Plc (MORE) scandal.

Bangkok Post

SEC Chair says the 'runway is getting shorter' for crypto companies

The Securities and Exchange Commission chair said “the runway is getting shorter” for crypto companies.

Fortune

Thai firms lauded for governance efforts

Thai listed companies are making great strides in corporate governance amid the rising trend of sustainable business, according to the Securities and Exchange Commission (SEC).

Bangkok Post

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Ballotpedia

The Daily Brew, December 2: An initiative in Nevada would let municipalities opt-out of county-based school districts

Welcome to the Friday, December 2, Brew.

Bangkok Post

MORE asked to clarify inconsistencies

The Securities and Exchange Commission has ordered embattled More Return Plc (MORE) to clarify inconsistencies in information provided by its board on various issues, including the cost of an international concert it is organising.

Bangkok Post

Embattled MORE ordered to explain inconsistent information

The Securities and Exchange Commission has ordered More Return Plc (MORE) to clarify inconsistencies in information provided by its board on issues including the rising cost of a concert it is organising.

Ballotpedia

Checks and Balances November 2022

The Checks and Balances Letter delivers news and information from Ballotpedia’s Administrative State Project, including pivotal actions at the federal and state levels related to the separation of powers, due process, and the rule of law.

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Bangkok Post

Asia Wealth Securities suspended from all business

The Securities and Exchange Commission on Tuesday ordered Asia Wealth Securities to cease all its operations after its net capital fell below zero for more than 5 business days.

Bangkok Post

Asia Wealth Securities suspended from doing business

The Securities and Exchange Commission has suspended Asia Wealth Securities Co from doing business for alleged use of clients' money without their consent.

Tribune News Service

As SEC works to finalize climate rule, both sides make their case

WASHINGTON — Supporters and opponents of climate-related financial risk disclosure made a last push to influence the Securities and Exchange Commission as the agency works on finalizing its controversial rule, a process that could take months.

Evening Standard

Over a million customer crypto accounts at risk as Binance abandons FTX acquisition

The US Securities and Exchange Commission is reported to be expanding its investigation into the beleaguered crypto exchange

Tribune News Service

Supreme Court signals it may allow court challenges to SEC, FTC

The U.S. Supreme Court signaled it may open a new avenue for companies and people to fight off complaints by the Securities and Exchange Commission and Federal Trade Commission, hearing arguments in cases that could undercut the clout of two powerful market regulators.

Roll Call

Expected Financial Services chair found consensus with Democrats - Roll Call

Democrats said Rep. Patrick T. McHenry, R-N.C., expected Financial Services Committee chair, has sought to find bipartisan consensus.

Benzinga

4 Mortgage REITs With Temptingly High Dividend Yields

Real estate investment trusts (REITs) are some of the best options for investors looking to generate stable dividend income. This is because publicly traded REITs are required to distribute at least 90% of their taxable income to shareholders annually, as per Securities and Exchange Commission (SEC) rules.

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