by Kenneth Ballon | Jan 2, 2025 | Webinars & Podcasts
Topics and Takeaways: Swiss FINMA Issues Guidance on Governance and Risk Management in Artificial Intelligence Applications US SEC Approves PCAOB’s 399.7 Million USD Budget for 2025, Establishes Accounting Support Fee US SEC Approves Rule Changes for Listing Hashdex...
by Kenneth Ballon | Jan 2, 2025 | Webinars & Podcasts
Topics and Takeaways: Kraken Operator Ordered to Pay AUD 8 Million for Regulatory Breaches Following ASIC Action US SEC Orders Cantor Fitzgerald to Pay $6.75 Million for Misleading SPAC Disclosures US SEC Announces Leadership Change as Erik Gerding Steps Down, Cicely...
by Kenneth Ballon | Jan 2, 2025 | Webinars & Podcasts
Topics and Takeaways: MAS Publishes Information Paper for Ethical Practices in Implementation of AI in Banking.. Cayman Islands Monetary Authority Appoints Jessica Ebanks as Head of Securities Supervision Division Fraudulent Commodity Pools: U.S. CFTC’s Legal Action...
by Kenneth Ballon | Nov 20, 2024 | Webinars & Podcasts
Download Audio Episode Description: The webinar discusses the implementation of the Book Building Conduct Requirements as part of the SFC’s Code of Conduct and the related amendments to the Stock Exchange’s Main Board and GEM listing rules, which took effect in August...
by Kenneth Ballon | Nov 19, 2024 | Webinars & Podcasts
Download Audio Episode Description: The webinar introduces significant changes related to the treasury share regime and the proposed company re-domiciliation scheme in Hong Kong, focusing first on the treasury share regime that began in June 2024. The Hong Kong Stock...
