All posts tagged "Brokers"
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456EnforcementTaiwan FSC Penalises Brokers for Lax Security Controls
Cathay Securities, Concord Securities and SinoPac Securities were fined the most and barred from certain business and capital raising activities for three months.
March 5, 2021 -
238IndiaSEBI, FinMin Order NSE to Explain Three Hour Trading Halt
NSE had attributed the trading halt to issues with their links to two telecom service providers. An interim report is expected within 24 hours.
February 25, 2021 -
421Asia-PacificSri Lanka Issues Good Practices Guidelines for Stockbrokers
The guidelines are mandatory and require immediate implementation. Three months' grace is given for a new cap on investment advisor commissions.
January 27, 2021 -
429Asia-PacificSri Lanka SEC Approves New IPO Process, Relaxed Listing Rules
The SEC has asked the Colombo Stock Exchange to implement a broad programme to educate companies on the simplified processes and encourage them to list.
January 25, 2021 -
995AML / KYCBSP Highlights AML Risks of Cash, Cross-Border Payments
Suspected criminal proceeds mostly came from Australia, Germany, Singapore, the UK and the US. The top destinations of suspected illicit funds were Hong Kong, Singapore and the US.
January 25, 2021 -
326KoreaKorea 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 -
391EnforcementTaiwan FSC Fines KGI Securities Over Poor Internal Controls
The case relates to the August suicide of a former KGI Securities employee, who suffered large investment losses as a result of illegal futures trades for his clients.
December 31, 2020 -
1.3KAsia-PacificPhilippine SEC to Mandate New Cybersecurity Rules for Capital Markets
Regulated entities will have to create a separate Information Security Group and appoint a Chief Information Security Officer.
December 21, 2020 -
1.3KChinaHKEX to Enhance Northbound Stock Connect Post-trade Processing
HKEX is targeting a Q1 2022 launch for the new settlement platform, which will automate and streamline post-trade processes and improve settlement efficiency.
November 25, 2020 -
767FeatureSFC Plans to Issue Code of Conduct for Investment Banks – Report
The SFC is reportedly seeking to frame a detailed code of conduct for capital raisings that will cover how investment banks calculate their fees.
November 17, 2020
