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China VC Funding Declines During January-July 2023, But Still Outperforms Global Peers, Reveals GlobalData

Date 24/08/2023

China experienced a decline in venture capital (VC) funding activity during January-July 2023. The country saw a 16.5% decrease in deal volume and a 28.6% reduction in disclosed funding value compared to the same period in 2022. However, this contraction appears relatively measured when juxtaposed with other major economies, reveals GlobalData, a leading data and analytics company.
Welcome Address By Dato’ Seri Dr. Awang Adek Hussin Chairman, Securities Commission Malaysia 14th SC-OCIS Roundtable 2023 Theme: Investing Towards The Common Good: Impact, Stewardship, And Ethical Considerations

Date 24/08/2023

In his welcome address, Dato’ Seri Dr. Awang Adek Hussin, Chairman of the Securities Commission Malaysia (SC), emphasised the need for collective action to address global challenges that hinder social progress and sustainable development.
ASX: Correction To 2023 Full-Year Results Presentation Slides

Date 24/08/2023

ASX advises that an error appeared on page 47 of the 2023 Full-Year Results Presentation Slides released to the market on 17 August 2023.
Statement On The Adoption Of Amendments To Rule 15b9-1, SEC Commissioner Hester M. Peirce, Aug. 23, 2023

Date 23/08/2023

Thank you, Chair Gensler. Establishing a regulatory framework that is generally consistent across similarly situated firms is an objective that should inform our rulemaking process. Pursuing this objective, however, is not the same as seeking to impose regulatory uniformity for its own sake, particularly when there are alternative and less burdensome ways to fill regulatory and reporting gaps. Because today’s recommendation rejects a common sense approach, I cannot support it.
CFTC Charges Texas Man And His Company With Fraud And Misappropriation

Date 23/08/2023

The Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the Northern District of Texas against Walter Dunning Larrick, III, a former resident of Corpus Christi, Texas, and Cambridge Financial Advisors, LLC, a Texas limited liability company owned and controlled by Larrick. The complaint alleges Larrick and Cambridge fraudulently induced at least 70 people to invest over $3.6 million in a purported commodity pool and then misappropriated most of the pool funds.

SEC Charges Former Attorney At U.S.-Based Global Law Firm With Insider Trading - Visiting Attorney At The Washington, D.C. Office Of Law Firm Used Access To Confidential Client Info To Make Illegal Profits

Date 23/08/2023

The Securities and Exchange Commission today announced insider trading charges against Romero Cabral da Costa Neto for trading based on material, nonpublic information concerning a client of the global law firm where he worked as a visiting attorney from Brazil.
Statement On Private Fund Advisers; Documentation Of Registered Investment Adviser Compliance Reviews, SEC Commissioner Mark T. Uyeda, Aug. 23, 2023

Date 23/08/2023

Thank you, Chair Gensler. In the Commission’s ongoing fight against crypto assets, it argued in Terraform that “[w]hen distinguishing between classes of investors, courts construe the federal securities laws’ provisions to provide more—not less—protection to retail investors.” Today, the Commission seeks to impose rules for private funds – which are generally available only for sophisticated investors – that are far more burdensome and restrictive than those products for retail investors. This inconsistency is only one reason why these final rules are arbitrary and capricious.
Empowering And Protecting Private Fund Investors, SEC Commissioner Jaime Lizárraga, Aug. 23, 2023

Date 23/08/2023

The choice we face today is leaving in place a framework for overseeing investment advisers that does not adequately protect private fund investors, or strengthening it to better serve them and the public interest.
U.S. Department Of Justice: Tornado Cash Founders Charged With Money Laundering And Sanctions Violations - Roman Storm And Roman Semenov Charged With Operating The Tornado Cash Service, Laundering More Than $1 Billion In Criminal Proceeds

Date 23/08/2023

A Russian national and a Washington man were charged today with conspiracy to commit money laundering, conspiracy to commit sanctions violations, and conspiracy to operate an unlicensed money transmitting business.
SEC Charges Former New Jersey Corrections Officer With Crypto Fraud Scheme Targeting Law Enforcement Personnel - John DeSalvo Also Charged With Fraud In Separate Investment Scheme

Date 23/08/2023

The Securities and Exchange Commission today charged former New Jersey State Correctional Police Officer John A. DeSalvo with fraudulently raising funds through the unregistered offering of the Blazar Token, a crypto asset security he created but that collapsed in May 2022. The SEC also charged DeSalvo with misappropriating investor funds, much of which he sent to his personal crypto asset wallets and used to pay for a bathroom renovation.