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The Latest Breaking News from the Securities and Exchange Commission

The Power of Shareholder Proposals

A look at what shareholder proposals are and the power they can have on a company.

Kiplinger

US government legal firm Casepoint investigating data breach

ALPHV apparently managed to steal terabytes of sensitive data, including some belonging to the US government.

TechRadar

SEC strips Asia Wealth of securities business licence

The Finance Ministry has revoked a securities business licence of Asia Wealth Securities (AWS), as proposed by the Securities and Exchange Commission (SEC) for misuse of client funds without permission.

Bangkok Post

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Trump Media files $3.78bn defamation lawsuit against Washington Post over Truth Social reporting

Trump’s latest defamation lawsuit comes after his investment in struggling Truth Social platform saw his net wealth fall by $700m in the past year

The Independent UK

SET slaps warning on Stark shares

The Stock Exchange of Thailand (SET) plans to assign the "C" (caution) sign to shares of Stark Corporation today after the Securities and Exchange Commission (SEC) ordered the company to clarify its financial data within seven days.

Bangkok Post

Regulator sets out rules for ICO portals

The Securities and Exchange Commission (SEC) has issued regulations governing digital token offering service providers (ICO portals), prohibiting them from acting as an ICO portal for digital token issuers that have conflicts of interest.

Bangkok Post

Bally’s proposes selling casino stake to some city residents

The company said it is discussing terms of the offer, intended to help it meet requirements for ownership by racial minorities, with the Securities and Exchange Commission.

Chicago Sun-Times

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TCRB eyes stock exchange listing in 2023

Thai Credit Retail Bank (TCRB) has submitted filings to the Securities and Exchange Commission for an initial public offering (IPO) on the Stock Exchange of Thailand by the end of this year.

Bangkok Post

SEC prepares digital bond offerings valued at B6.7bn

The Securities and Exchange Commission (SEC) has approved the first lot of digital bond offerings worth 6.7 billion baht.

Bangkok Post

Lawmakers call on SEC to asses Shein supply chain before IPO

A group of lawmakers are asking the Securities and Exchange Commission to stop an initial public offering by the fast fashion retailer Shein until it verifies it does not user forced labor from China's predominantly Muslim Uyghur population

The Independent UK

SEC board authorised to name acting secretary-general

The board of the Securities and Exchange Commission (SEC) is permitted to name an acting secretary-general if the current government fails to endorse an SEC chief by the end of the month, according to Finance Minister Arkhom Termpittayapaisith.

Bangkok Post

Zipmex seeks to discuss fines with SEC

Zipmex, the embattled cryptocurrency exchange, has arranged to discuss fines of nearly 11 million baht imposed on the company and its chief executive by the Securities and Exchange Commission (SEC), saying talks with potential new investors are ongoing.

Bangkok Post

Standards come to the fore

The Securities and Exchange Commission (SEC) is aiming to create internationally consistent standards for Islamic mutual funds in order to increase options for investors and expand the Muslim investor base.

Bangkok Post

House committee chair blasts SEC’s Gensler on defining Ether: ‘You won’t answer my question, and you’re the head of that agency’

The chair of the House Financial Services Committee and the chair of the SEC still do not agree on Ether—or how that lack of agreement affects markets.

Fortune

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Bangkok Post

Chiang Mai people sue PM for failing to tackle smog

About 1,700 people in Chiang Mai on Monday brought a lawsuit in the Administrative Court against the prime minister and two state agencies for failing to tackle the annual dense smog over the region, which they say is shortening their lives by about five years.

Tribune News Service

Ramstad: Bright Health is on the verge of becoming one of Minnesota's biggest business failures

The Securities and Exchange Commission 22 years ago changed the expression of stock prices from fractions to decimals that go out to hundredths of a cent.

Bangkok Post

SEC mulls lifting ICO retail limit

The Securities and Exchange Commission (SEC) is preparing to lift the retail investment limit of 300,000 baht for initial coin offerings (ICOs) to stimulate investments in digital tokens, according to the regulator.

Bangkok Post

Regulator orders Zipmex to clarify deal payments

The Securities and Exchange Commission (SEC) on Monday ordered cryptocurrency exchange Zipmex to clarify news that emerged on Friday regarding its Singapore parent not receiving the latest payment under its buyout agreement with venture capital firm V Ventures Technologies.

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Bangkok Post

Tanachira poised to submit IPO filing

Tanachira Retail Corporation, the importer and distributor of lifestyle fashion brands including Harnn, Marimekko and Pandora, is scheduled to submit its filing for an initial public offering (IPO) with the Securities and Exchange Commission next month.

Los Angeles Times

Lindsay Lohan, Jake Paul, Lil Yachty and other celebs charged for boosting crypto

In the latest of what’s become a years-long trend, the Securities and Exchange Commission on Wednesday announced charges against a host of celebrities for boosting crypto assets without properly disclosing that they were paid for their endorsements.

The Independent UK

Justice Dept, SEC probing collapse of Silicon Valley Bank

The Justice Department and the Securities and Exchange Commission have launched investigations into the collapse of Silicon Valley Bank, a person familiar with the matter told The Associated Press

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