The business licence makes Daiwa Securities (China) Co Ltd the fourth foreign-owned joint venture securities firm in Beijing.
January 3, 2021Credit Suisse is required to improve its risk assessment, customer due diligence, suspicious activity monitoring and reporting processes.
December 31, 2020The CSRC has accepted an application from Standard Chartered Hong Kong to set up a securities firm in the mainland.
October 13, 2020China Asset Management, E Fund Management, Huatai-PineBridge Fund Management and ICBC Credit Suisse Asset Management received approval.
September 27, 2020The proceedings relate to violations identified by a FINMA-appointed auditor in relation to Credit Suisse's observation and security activities, and how these activities are documented and controlled.
September 6, 2020Wealth managers are said to be screening comments made by clients and their associates in public, in the media, and in social media posts as far back as 2014 to determine their political stance.
July 22, 2020Credit Suisse did not match client orders for on-market buy-backs on an order book as is required by ASIC's market integrity rules.
July 6, 2020The CSRC granted Credit Suisse approval to raise its shareholding in the joint venture in April, from 33.3% to 51%.
June 2, 2020In its latest annual Compendium, Starling draws on survey findings and commentary from regulators to identify ten culture and conduct trends in the banking sector.
May 11, 2020ZenRock is the latest Singapore commodities trader to come under scrutiny, for allegedly using the same cargo to secure financing from multiple banks.
May 8, 2020