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The Latest Breaking News from Securities and Exchange Commission

The Securities and Exchange Commission (SEC) is warning investors to exercise caution when making decentralised finance (DeFi) transactions, saying there are risks and they do not fall under the supervision of the country's regulators.

Bangkok Post

The Good, the Bad, and the Ugly of Jarkesy v. SEC

Assessing an aggressive Fifth Circuit opinion declaring Securities & Exchange Commission proceedings unconstituional.

Reason

Economy and Society, August 16, 2022: ESG becomes a campaign theme

Economy and Society is Ballotpedia’s weekly review of the developments in corporate activism; corporate political engagement; and the Environmental, Social, and Corporate Governance (ESG) trends and events that characterize the growing intersection between business and politics.

Ballotpedia

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‘Securities’ label in SEC insider case may have broad crypto impact

WASHINGTON — The Securities and Exchange Commission fired a warning shot at the cryptocurrency industry when it filed an insider trading case that declared several digital assets qualify as securities, according to those closely following the agency.

Tribune News Service

SEC demands Zipmex clarify bankruptcy filing

The Securities and Exchange Commission (SEC) is demanding answers from executives of Zipmex after the cryptocurrency exchange refused to explain its filing for debt relief in Singapore.

Bangkok Post

Michael Hiltzik: A ransomware attack cost this entrepreneur a year of his life and almost wrecked his business

When ransomware bandits struck his business last June, encrypting all his data and operational software and sending him a skull-and-crossbones image and an email address to learn the price he would have to pay to restore it all, Fran Finnegan thought it would take him weeks to restore everything to…

Los Angeles Times

Economy and Society- July 26, 2022: Responses to proposed Biden administration ESG rules

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Siam Piwat sets interest rate for Perpetual Bond at 5.50% p.a. for first 5 years

Offering to institutional and high net worth investors during Aug 4-5 and Aug 8-9, 2022

Bangkok Post

Agencies meet over Zipmex

The Securities and Exchange Commission (SEC) met with the Department of Special Investigation (DSI) on Monday to discuss legal measures to protect investors facing huge risks of losses from Zipmex Thailand's suspension of asset withdrawals and transfers from ZipUp+ or Z Wallets under Zipmex Global.

Bangkok Post

Former U.S. Representative Charged With Insider Trading: Here Are The Companies Involved

A former member of Congress was charged by the Securities and Exchange Commission Monday for potential insider trading.

Benzinga

Authorities probe potential losses for users of crypto platform Zipmex

The Securities and Exchange Commission said on Monday it was working with law enforcement to look into potential losses among the public after the crypto exchange Zipmex temporarily suspended withdrawals last week.

Bangkok Post

Investors rally behind climate, diversity proposals as proxy season ebbs

Activist shareholders achieved a higher rate of success on public policy resolutions during this year’s proxy season, driven by changes from the Securities and Exchange Commission and investor pressure on companies to tackle environmental, social and governance issues.

Tribune News Service

Investment companies face SET, MAI fundraising ban

The Securities and Exchange Commission (SEC) and the Stock Exchange of Thailand (SET) intend to ban investment management companies from raising funds on the SET and Market for Alternative Investment (MAI) to close regulatory loopholes and enhance investor protection.

Bangkok Post

Economy and Society: July 19, 2022- Missouri Treasurer challenges ESG impact on public pensions

Ballotpedia

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Benzinga

Crypto Bull Kevin O'Leary Vs. Bear Andrew Left: Who Will Win The Tug of War?

Even as the cryptocurrency market on Monday reclaimed the $1 trillion market cap following a dramatic fall in prices of late, there could be more pain ahead for investors in the short term, according to experts.

Bangkok Post

Siam Piwat is set to issue perpetual bonds, offering first-ever opportunity for investors to be part of its long-standing success in its stride towards future businesses

Siam Piwat, a leading real estate and retail developer, the owner and operator of world-class projects, such as Siam Paragon, Siam Center, and Siam Discovery, and a joint venture partner of ICONSIAM and Siam Premium Outlets Bangkok, is offering an opportunity for investors to take part in its success across…

Bangkok Post

SEC hardens funding rules for operators

The Securities and Exchange Commission (SEC) has tightened regulations regarding capital requirements for digital asset operators to ensure they have sufficient funds to support their operations, enhance the market's credibility and flexibility, as well as improve investor protection.

Benzinga

Trucking Industry Concerned About SEC's Proposed Climate Rules

Small and large carriers alike are wondering how the Securities and Exchange Commission's proposed climate disclosure rules could affect their businesses.

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Tribune News Service

SEC seeks to ease barriers for investors’ ESG proposals

WASHINGTON — The Securities and Exchange Commission on Wednesday proposed expanding investors’ ability to resubmit proposals on environmental, social and governance issues as the 2022 proxy season sees record levels of votes and Republicans ramp up criticisms of the agency.

Roll Call

SEC seeks to ease barriers for investors' ESG proposals - Roll Call

The Securities and Exchange Commission proposed expanding investors’ ability to resubmit proposals on environmental, social and governance issues.

Tribune News Service

Activists say Amazon misled shareholders about warehouse working conditions

When the investment firm BlackRock voted against an independent audit of the working conditions at Amazon's warehouses, it was relying on false and misleading information from the company, one activist group is arguing in a new complaint with the Securities and Exchange Commission.

Ballotpedia

Economy and Society: July 5, 2022- SCOTUS ruling impact on SEC

Bangkok Post

SEC orders review of KUB coin listing

The Securities and Exchange Commission (SEC) ordered Bitkub Online to review KUB coin's presence on the exchange after finding it does not meet the regulatory listing requirements and criteria.

Benzinga

Why This Activist Investor Is Calling For Tesla To Be Investigated By SEC

SOC Investment Group asked the Securities and Exchange Commission Friday to investigate Tesla, Inc.

Tribune News Service

GM's sales drop in Q2, automaker still affirms yearly profit guidance

General Motors Co. on Friday reported a 15% year-over-year decline in its second quarter sales when the automaker still remained supply constrained, but the automaker also still expects to deliver $9.6 billion to $11.2 billion in net income this year, according to a Friday filing with the Securities and Exchange…

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