All posts tagged "Brokerages"
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107EnforcementKorean Tech Giants Told to Comply with Consumer Protection Law
The FSC and FSS have ordered Kakao and Naver to alter or halt the sale of financial products online and register as brokerages by 24 September.
September 15, 2021 -
175ChinaChina Will Still Allow IPOs in the US, CSRC Tells Brokers
Regulators will continue to allow VIE structures, recognising that they serve as a vital way for companies to attract foreign capital.
July 30, 2021 -
314FeatureHK to Accelerate Plans for Mandatory Climate Disclosures – Report
The HKMA's Darryl Chan reportedly said mandatory climate disclosure requirements could arrive in Hong Kong as early as next year.
June 28, 2021 -
169KoreaKorea Brokers Join Emissions Trading Scheme as Market Makers
Participation by the brokerage firms as market makers will help reduce bid-ask spreads and keep Korea's emissions trading market liquid.
May 25, 2021 -
455ChinaCSRC Fines Fund Manager ¥1.1m for Fraud, Embezzlement
Cornerstone Capital's controlling shareholder was also fined for fabricating the financials of funds managed by the firm.
March 17, 2021 -
332Capital RegulationFSC Korea Issues Revised Capital Markets Rules
The new rules prohibit investors from placing multiple orders for IPO subscription via multiple brokerages and improve Chinese wall regulations
March 16, 2021 -
130KoreaBOK Ends Special Lending Programme as Markets Stabilise
The BOK has decided to end a special lending programme that allowed banks, brokerages and insurers to obtain funding by pledging corporate bonds as collateral.
February 3, 2021 -
243Korea
Korea to Require Brokers, Insurers to Enhance FX Risk Management
Non-banking financial institutions will have to report details about their FX exposures monthly to ensure their FX liquidity remains adequate.
January 21, 2021 -
477Korea
BOK Extends Special Loan Facility for Banks, Brokers, Insurers
To be extended until 3 February, the special lending programme permits banks, brokerages and insurers to take out loans from the BOK against collateral.
November 3, 2020 -
926Securities & TradingTWSE to Launch Market Making System by June 2021
Brokerages electing to serve as market makers will benefit through reduced handling fees, and be allowed to freely choose which eligible shares to trade.
September 9, 2020
