The Latest Breaking News from Securities and Exchange Commission

Warning issued over DeFi transactions

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 · Aug 17, 2022

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

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

Reason · Aug 17, 2022

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 · Aug 16, 2022

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 · Jul 26, 2022

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 · Jul 25, 2022

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 · Jul 25, 2022

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 · Jul 25, 2022

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 · Jul 21, 2022

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 · Jul 20, 2022

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

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 · Jul 19, 2022