All posts tagged "Brokerages"
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386EuropeRisks Were Visible in EMIR Data Prior to Archegos Collapse: ESMA
ESMA found that reported trade activity data could be used to track the evolution of Archegos’ positions in individual stocks and analyse the mark-to-market value of its portfolio of swaps.
May 20, 2022 -
386Fintech / RegtechThai SEC Prepares to Implement New Rules on Crypto-related Advertising
The SEC will extend the transitional period to allow crypto firms more time to ensure their advertising content aligns with the new rules.
May 11, 2022 -
377FeatureIOSCO to Develop Regulatory Toolkit on Retail Investor Protection
IOSCO consultation asks whether certain gamification should be regulated or prohibited, and whether regulators should be monitoring crypto-asset trading by retail investors.
March 22, 2022 -
537ChinaSFC Seeks to Allow Broker Participation in GBA Wealth Connect
A hurdle that still needs to be overcome is that Hong Kong brokerages are currently prohibited from distribution and soliciting clients in mainland China.
March 18, 2022 -
674Feature
Thai SEC Proposes New Rules on Crypto-related Advertising
Advertisements related to cryptocurrencies in public areas will be prohibited, but advertising of services "can still be carried out normally".
February 16, 2022 -
713FeatureTaiwan Allows Investors to Use Pre-settled Funds for Stock Trading
Investors will be able to use claims on pre-settled funds from the sale of stock as collateral for trading, which will improve market liquidity and investor convenience.
January 17, 2022 -
1.2KFeatureSouth Korean Financial Institutions Launch ‘MyData’ Services
On Wednesday, 33 firms started offering MyData services, enabling consumers to centralise management of their data from different institutions.
January 6, 2022 -
240ChinaCSRC Bars Brokers from Using ‘Influencers’ to Push Stocks
Securities firms are prohibited from working with social media influencers who are not licensed. Providing investment recommendations via livestreaming is banned.
November 15, 2021 -
375EnforcementKorean 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 -
307ChinaChina 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
