SEC’s whistleblower program takes effect
On Friday the SEC’s new whistleblower program took effect, allowing company employees to profit from reporting securities law...
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Regulation Archive
Former NASDAQ official sentenced to three-and-a-half years
Former NASDAQ executive Donald Johnson has been sentenced to three-and-a-half years in prison plus one year of probation after...
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European regulator floats continent-wide short selling ban
The European Securities and Markets Authority (ESMA) is thinking about coordinating a continent-wide ban on short selling...
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EC opens probe into Deutsche Börse-NYSE merger
The European Commission (EC) has opened an expected in-depth investigation into the proposed merger between Deutsche Börse and...
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Nexis swaps shares for football sponsorship
Nexis has taken on Sheffield United, the UK football team, as a shareholder in return for shirt sponsorship during next year’s...
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Want investor confidence? Make more disclosures
Companies in Singapore may have to make increased disclosures to continue attracting retail investors, according to a study by...
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Overhangs and hangovers
When Mikhail Gorbachev came to power in the Soviet Union, US economists warned him about the ‘overhang’ of billions of ‘useless’...
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Fallout from the fox in the henhouse
‘My first response was that this is unbelievable, un-bee-lieve-able!’ The incredulous speaker, a Wall Street veteran, has worked...
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SEC votes to adopt large trader reporting rule
The SEC has adopted a new rule to help it track the activities of large traders with the biggest influence on the market.The...
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HKEx warns issuers over listing division ‘staff’
The Hong Kong Stock Exchange (HKEx) has warned issuers to exercise caution as they may be approached by people pretending to be...
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