All posts tagged "Custodians"
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386IndiaSEBI Allows Indian Firms to Issue Depository Receipts
Domestically listed companies will be allowed to issue depository receipts on certain international bourses as well as on GIFT City exchanges.
October 12, 2019 -
950Asia-PacificInitial Margin Challenges Confronting Asian Markets
DTCC's Purtini Joshi outlines three key challenges firms need to address to ensure compliance with Phase 5 and Phase 6 implementation of initial margin regulations.
October 8, 2019 -
383Hong KongHong Kong to Regulate Fund Trustees, Custodians
Fund trustees and custodians in Hong Kong are not subject to any licensing regime or ongoing supervision. The SFC proposes to regulate them under a new type of regulated activity, RA 13.
September 30, 2019 -
257Australia & NZASX to Streamline Transfers to CHESS Subregister
ASX will remove a requirement for settlement-only participants to receive and provide a registrable transfer document for transfers, but will require validation checks.
September 2, 2019 -
1.4KAsia-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 -
338Australia & NZFMA Consults on Exemptions for New Financial Advice Regime
The FMA considers that it may be useful to continue existing exemption relief for Australian licensees and advisers already meeting ASIC requirements.
August 19, 2019 -
557Capital RegulationCBIRC Issues New Rules to Raise Transparency on Bank Ownership
By end-June 2020, all banks must provide the complete and accurate register of their shareholders to custodian institutions who will manage the register moving forward.
July 26, 2019 -
693IndiaNSE Clearing Retains Dominance as Interoperability Kicks In – Report
Trading members and custodians have largely selected NSE Clearing over ICCL to settle trades in the equity cash segment following the introduction of clearing corporation interoperability.
July 25, 2019 -
834ChinaCSRC 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 -
580AML / KYCMAS Consults on Proposed Framework for Variable Capital Companies
The proposals include an AML/CFT framework for VCCs requiring them to engage an eligible financial institution to perform the necessary checks.
May 2, 2019
