All posts tagged "Brokers"
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506IndiaSEBI Blocks Cash Payments To Stock Brokers
Stock brokers are no longer allowed cash payments either directly or deposited into their bank accounts, as India aims to promote digital payments and a cashless economy.
July 16, 2018 -
580EnforcementIndia’s NSE Accused Of Fraud In Algo-Trading Case
India’s securities regulator has issued a notice to NSE for allegedly misuse of its co-location facility by some brokers seeking early access to the exchange’s algo-trading system.
July 9, 2018 -
526ChinaChina Cracks Down On Zero-Fee Bond Underwriting
The CSRC and the Securities Association of China reportedly sent a notice to brokers asking them to stop underwriting bond deals for free, a common practice in the country to maintain relationships with key clients and underwriting standings.
June 14, 2018 -
632Australia & NZAustralia Authorises New Financial Complaints Body
The Australian Financial Complaints Authority, going into operation on 1 November this year, will focus on complaints by consumers and small businesses against financial firms.
May 4, 2018 -
552India
SEBI Proposes Biometric Authentication for Mobile App Stock Trading
Indian securities regulator is consulting the industry on potential guidelines for finger print and iris-scan authentication for stock trading through mobile apps, in a bid to protect the capital markets against cyberattacks.
April 26, 2018 -
713FeatureSFC Eying Rules on Instant Message Trade Orders
Executive director also says regulator to develop common standard on the content and format of data required to be kept by investment firms.
April 16, 2018 -
615EnforcementS.Korea Tax Authority Fines Brokers for ‘Borrowed Name’ Accounts
Brokerages penalised for Samsung chief’s borrowed-name accounts will seek to recover money from the electronics giant.
March 21, 2018 -
1.0KInternationalWho’s Picking up the MiFID II Bill?
MiFID II’s rollout into the middle of a market reversal and complaints about asset manager fees couldn’t have come at a worse time.
March 12, 2018 -
674FeatureTaiwan Brokers Set to Issue Exchange Traded Notes
Brokers with capital adequacy exceeding 250 percent and net value over NTD10 billion will be allowed to issue the new debt instruments.
March 3, 2018 -
1.3KAsia-PacificLEIs: Asia Following the Rest of the World
Firms in the region either embrace, endure or avoid MiFID II’s LEI requirement, but must accept that it’s not just regulations from the US which now have a profound extraterritorial impact.
January 18, 2018
