All posts tagged "Brokers"
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312AML / KYCStock Connect to Launch Southbound Investor ID Regime “Soon”
The launch of the investor identification regime for southbound trading will mark the first time mainland investors will have their personal information shared with Hong Kong’s regulator.
October 12, 2019 -
277FeatureStricter Foreign Investment Approvals Will Hurt Japan Markets
A proposal to adjust the notification threshold for foreign investors in Japan is reportedly being called “idiotic” by JPX chief Akira Kiyota.
October 11, 2019 -
299Capital RegulationSFC Offers Additional Guidance on New Margin Financing Rules
New FAQs make clear that deviations from the new rules after 4 October will not automatically be seen as noncompliance or result in disciplinary action.
October 2, 2019 -
368ChinaCSRC Announces Top 12 Priorities to Deepen Reforms
The priorities include encouraging more medium- and long-term funds to enter the market, improving the legal system, and strengthening supervision.
September 12, 2019 -
332IndiaSEBI Extends Deadline for New Rules on Handling Client Securities
Following feedback from stock exchanges and market participants, SEBI has decided to extend the effective dates in a June circular by one month.
August 30, 2019 -
373Australia & NZNAB Faces Potential A$535 Penalty for Using Unlicensed Loan Referrers
ASIC has initiated federal court proceedings in relation to misconduct by 16 NAB bankers who accepted loan information and documentation from unlicensed introducers.
August 26, 2019 -
1.2KAsia-PacificEU Shareholder Rights Directive – It’s Time for APAC Firms to Act
Though a European regulation, SRD II will directly impact Asian intermediaries and hundreds of billions of euros in assets held by APAC investors, says Demi Derem at Broadridge.
August 26, 2019 -
567Feature
SFC Raises Standards for Data Submissions by Brokers
In-scope brokers are expected to implement system changes and make other arrangements needed for compliance with the new Data Standards by end-October 2020.
August 1, 2019 -
748China
CSRC Allows Funds to Engage in Securities Lending
Certain funds can lend stocks to the state-owned China Securities Finance Corp, which can then lend to brokers, who facilitate investor short selling.
June 27, 2019 -
502Enforcement
SFC Orders Freezing of More Assets Linked to Manipulation Case
The SFC has ordered more brokers to stop dealing with and processing assets linked to suspected market manipulation of Ding Yi Feng shares.
June 26, 2019
