All posts tagged "Asset Managers"
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166ChinaCSRC to Allow Fund Managers to Invest in NEEQ Stocks
To trade NEEQ stocks, fund managers should have investment and research capabilities, and strong liquidity risk management, due diligence and internal control systems.
January 8, 2020 -
258FeatureSFC Concludes Consultation on OTC Derivatives Margin Requirements
IM requirements will be phased in for firms with AANA exceeding HK$375bn starting from 1 September 2020, the same date VM requirements take effect.
December 19, 2019 -
360Hong Kong
Asset Managers Looking to Boost ESG, Climate Efforts: SFC
There is significant interest among asset management firms to step up their ESG efforts and management of environmental and climate risks, an SFC survey has found.
December 17, 2019 -
434EuropeUK Senior Managers Regime Now Covers All FCA Regulated Firms
All FCA regulated firms, including asset managers and hedge funds, now have to comply with the SM&CR, including for senior managers and key risk-takers hired at overseas branches.
December 13, 2019 -
632Big PictureFund Managers to Remain in Regulatory Spotlight in 2020: Moody’s
Asset managers will remain in the regulatory spotlight as authorities actively work to reduce conflicts of interest in financial advice and elevate supervision of fund liquidity management.
December 10, 2019 -
505KoreaKorea FSS Pledges to Improve Environment for Foreign FIs
At a meeting with bank and asset manager heads, the FSS promised to lower regulatory and operational barriers for foreign firms looking to enter Korea’s financial markets.
December 3, 2019 -
314Enforcement
SFC Warns Against Concealing Identities of Transacting Counterparties
Listed entities should disclose counterparties’ controllers and beneficial owners in corporate transactions. Asset managers should maintain effective controls to detect dubious arrangements or transactions.
November 22, 2019 -
350FeatureMAS to Establish Singapore as a Leading Centre for Green Finance
Our goal is to be a leading centre for green finance in Asia and globally, said Singapore Minister for Education Ong Ye Kung at Singapore Fintech Festival x SWITCH 2019.
November 11, 2019 -
512ChinaChina Further Eases Restrictions on Foreign Investment
China will not force foreign investors and companies to transfer their technology to their local partners, according to Vice Minister of Commerce Wang Shouwen.
October 31, 2019 -
483EnforcementFSS to Conclude Probe into Derivatives Mis-selling This Week
The FSS will conclude its investigation into KEB Hana and Woori Bank this week. KEB Hana and its CEO are expected to face higher penalties for 'obstructing' the investigation.
October 28, 2019
