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US regulator to tighten rules on derivatives

US securities regulators are set to crack down on the use of derivatives in certain funds sold to the public by asset management firms, the Wall Street Journal reported. The Securities and Exchange Co ...More

EJ Insight2015-12-07

Crowdfunding or crowdphishing?

... s, the US Securities and Exchange Commission (SEC) issued last month a final rule that will allow true crowdfunding; and yet the new regulatory framework still falls far short of what’s needed to boos ...More

EJ Insight2015-11-19

Russian hackers said to have infiltrated Dow Jones servers

... tigation, Secret Service and the Securities and Exchange Commission are leading the investigation of the infiltration, Bloomberg reported, citing unnamed people familiar with the matter. The probe beg ...More

EJ Insight2015-10-19

Credit Suisse to pay US$80 mln in dark pool settlement

...  with the Securities and Exchange Commission, as well as US$30 million to the New York Attorney General. Dark pools, where supply and demand is kept private and only details of executed trades are mad ...More

EJ Insight2015-09-15

Ex-Nomura traders charged over mortgage-backed securities

US authorities on Tuesday brought charges against three former Nomura Securities traders for alleged malpractices related to residential mortgage-backed securities (RMBS). The Securities and Exchange ...More

EJ Insight2015-09-09

Hackers’ US$100 mln insider shop sold data on demand

... number of securities traded and profits generated," said Securities and Exchange Commission chair Mary Jo White in a statement. Bloomberg described the scheme as a combination of digital-age cybercrim ...More

EJ Insight2015-08-12

US regulators probe pre-IPO sales amid buying frenzy

US securities regulators are investigating whether hedge funds and other investors are improperly selling private technology stocks amid a buying boom. The Securities and Exchange Commission (SEC) is ...More

EJ Insight2015-07-06

US SEC freezes assets of China-based trader over Qihoo deals

The US Securities and Exchange Commission (SEC) secured a court order Tuesday to freeze the assets of a China-based trader in connection with a probe into market activity related to Qihoo 360 Technolo ...More

EJ Insight2015-06-25

Wal-Mart holds US$76 bln assets in overseas tax havens: study

... ned in US securities filings, Bloomberg News reported. Overseas operations have helped the company cut more than US$3.5 billion off its income tax bills in the past six years, Wal-Mart's annual report ...More

EJ Insight2015-06-18

Dear China: Here's why Americans aren’t buying your stocks

... sdaq into second place. The problem isn’t fears about the Chinese economy, either. China’s GDP growth may be slowing, but its GDP growth rate is still twice that of the US. Nor is the problem lack of ...More

EJ Insight2015-03-09

Gates offloads US$1.5 bln Microsoft stock to foundation

... ed States Securities and Exchange Commission. The transfer slashed Gates's stake in the company he co-founded to 3 percent. That still leaves him with a net worth of US$82.9 billion, making him the we ...More

EJ Insight2015-02-05

SEC, Chinese big 4 accounting groups nearing deal

United States securities regulators and the Chinese affiliates of the big four accounting firms are nearing agreement on a high-profile dispute that could have derailed the audits and fundraising of d ...More

EJ Insight2015-02-05

US watchdog fines Avon US$135 mln for China bribes

The Securities and Exchange Commission of the United States slapped a fine of US$135 million on cosmetics direct-selling giant Avon Products to settle a corruption probe in China. The global beauty su ...More

EJ Insight2014-12-18

Issue of access to Chinese audit work papers may be easing

Two years ago, Hong Kong’s market regulator, the Securities and Futures Commission, took accounting firm Ernst & Young to court to force it to reveal information on a Chinese utility company that ...More

EJ Insight2014-07-29

Alibaba may wait until Sept for IPO launch: report

... th the US Securities and Exchange Commission over approval of its prospectus, the report said. Alibaba's recent acquisition spree and its unique governance model may be slowing the approval process, a ...More

EJ Insight2014-07-18

Taking systemic risk seriously

...  Treasury Secretary Jack Lew made such an argument in a recent congressional testimony, in the context of explaining why the Financial Stability Oversight Council (FSOC) should be allowed to consider ...More

EJ Insight2014-06-30

Problems linger even as Chinese IPOs return to US

The end of China’s 14-month-long freeze in initial public offerings in January, following reforms initiated by the China Securities Regulatory Commission, has been accompanied by a flurry of listings ...More

EJ Insight2014-04-22

SEC claims Chinese hog producer inflated revenue, WSJ says

The United States Securities and Exchange Commission has sued a Chinese animal-feed and hog-production company and several of its former top officials, alleging that they orchestrated or failed to sto ...More

EJ Insight2014-03-12

Accounting firms to appeal SEC ruling on China ops, Xinhua says

The Big Four global accounting firms said on Thursday they plan to appeal against a ruling by the US Securities and Exchange Commission (SEC) recommending the suspension of the firms' China units for ...More

EJ Insight2014-01-23

US judge backs SEC suspension for Chinese audit firms, WSJ says

The Chinese units of the top four global accounting firms -- PricewaterhouseCoopers, Deloitte Touche Tohmatsu, KPMG and Ernst & Young -- should be suspended from auditing US-traded companies for s ...More

EJ Insight2014-01-23

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