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Items tagged with "Enforcement"

SEC boosts Crypto Assets and Cyber Unit

We were interested to note that the US Securities and Exchange Commission (SEC) has “nearly doubled” the size of its Crypto Assets and Cyber Unit (formerly simply the Cyber Unit), part of its Division of Enforcement.

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UK FRC takes the reins on audit

The UK’s Financial Reporting Council (FRC) is on course to significantly strengthen its oversight of audit.

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Bank of England bares teeth with regulatory reporting fine

In news that may catch the attention of doubters when it comes to investing in regulatory reporting, the Bank of England’s Prudential Regulation Authority (PRA) recently fined Metro Bank 5.38 million pounds (just over 7 million dollars) for failures in its regulatory reporting.

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ESMA announces enforcement priorities

The European Securities and Markets Authority (ESMA) has released its annual Public Statement on European Common Enforcement Priorities. This sets out priority issues that ESMA, together with national enforcers, will pay particular attention to in assessing listed companies’ annual reports for 2021.

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SEC committee endorses tighter oversight of SPAC disclosures

In a unanimous recent vote, the Investor Advisory Committee (IAC) of the US Securities and Exchange Commission (SEC) has recommended stricter regulation of special purpose acquisition companies (SPACs).

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Singapore’s SGX RegCo to expand enforcement powers

Singapore Exchange Regulation (SGX RegCo) set to expand its range of enforcement powers from 1 August, in an interesting development that aims to reinforce Singapore’s capital markets, reduce malfeasance and enhance protection for investors.

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Comparing financial crises

Admittedly, one for the financial regulators! Those who fail to learn from history are condemned to repeat it… and this is certainly true in relation to financial crises.

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A closer eye on market disclosure – from China to Europe

Reporting standards tend to be hypothetical and without redress and enforcement consequences for misstatements.

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SEC announces Climate and ESG Enforcement Task Force

In further Environmental, Social and Governance (ESG) news from the US Securities and Exchange Commission (SEC), the agency has announced the creation of a Climate and ESG Task Force in its Division of Enforcement.

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SEC’s Data-Driven Enforcement on the rise

The US Securities and Exchange Commission (SEC) has never been shy of enforcement action. It’s very encouraging to see evidence that the Commission’s enforcers are increasingly relying on advanced analytics.

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