All posts tagged "Brokers"
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131ChinaCSRC Lifts Citadel Securities’ 4-Year Trading Suspension
Citadel Securities has agreed to pay almost $100mn to settle charges that its algorithmic trading disrupted the market during the 2015 market correction.
January 21, 2020 -
216Hong KongSFC Offers Brokers, Fund Managers Guidance on Risk Governance
Senior management, including the board, responsible officers and MICs will be held accountable for the overall risk management control of their firms.
January 21, 2020 -
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 -
338Capital RegulationKorea to Lift Ban on Brokers Lending to Overseas Units
Large brokerage firms will be allowed to extend loans to their overseas operations to better finance their global outreach.
October 21, 2019 -
482JapanUPDATED – Japan Cabinet Approves Tougher Foreign Investment Rules
Japan's proposal to lower the notification threshold for foreign investors has passed the cabinet and could become law by early April, with exemptions for foreign FIs.
October 21, 2019 -
633AML / 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 -
493FeatureStricter 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 -
435Capital 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 -
435China
CSRC 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 -
399IndiaSEBI 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
