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The Latest Breaking News from Securities and Exchange Commission

A look ahead at ESG in 2023

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

E-licensing service kicks off

The Securities and Exchange Commission (SEC) has authorised the first e-licence application made via its Biz Portal platform that allows securities businesses to file a request for an operating licence online, the regulator said in a statement on Wednesday.

Bangkok Post

SEC eager to recruit top post for commission

The Securities and Exchange Commission (SEC) is opening the recruitment process for a new secretary-general to replace Ruenvadee Suwanmongkol, the regulator said in a statement yesterday.

Bangkok Post

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House Republicans ramp up ESG opposition

Ballotpedia

The search is on for new SEC leader

The process to find a new secretary-general of the Securities and Exchange Commission (SEC) is likely to begin soon after the regulator’s board decided on Thursday not to extend the term for current boss Ruenvadee Suwanmongkol.

Bangkok Post

Elon Musk Faces SEC Investigation Over Tesla Self-Driving Claims

The Securities and Exchange Commission wants to know if Musk's forward-looking statements were inappropriate.

InsideEVs

SEC revising listing rules for ready-to-use utility tokens

The Securities and Exchange Commission (SEC) is preparing to revise the listing rules for ready-to-use utility tokens to make them more appropriate and protect investors, according to the regulator.

Bangkok Post

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3 events that will determine the fate of cryptocurrencies

Cryptocurrencies are reeling after a miserable year that saw the collapse of companies such as FTX. A look at what lies ahead.

WEKU

Nobel winner Maria Ressa and her online news outlet are cleared of tax evasion

The Nobel Peace Prize winner and her news company were cleared of tax evasion charges she said were among many legal cases used by ex-Philippine President Duterte to try to muzzle critical reporting.

WEKU

Nobel winner Maria Ressa, news outlet cleared of tax evasion

A Philippine tax court has cleared Nobel Peace Prize winner Maria Ressa and her online news company of tax evasion charges she said were part of a slew of legal cases used by former President Rodrigo Duterte to muzzle critical reporting

The Independent UK

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

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

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The Independent UK

SEC charges former McDonald's CEO with misleading investors

Chicago Tribune

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.

McClatchy Washington Bureau

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.

Bangkok Post

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.

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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.

Ballotpedia

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…

Bangkok Post

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.

Fortune

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.

Bangkok Post

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).

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.

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