All posts tagged "Disclosures"
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352ChinaChina Details Penalties for Bond Underwriting Kickbacks
The CSRC will ban or impose penalties on firms engaging that help companies with low creditworthiness issue debt in exchange for under-the-table payments.
September 21, 2018 -
349Australia & NZASIC’s Year Ahead to Focus on Conduct, Culture, Consumer Trust
ASIC Commissioner John Price laid out the regulator’s priorities regarding conduct and culture risk in the financial industry in the coming year.
September 11, 2018 -
267China
CSRC Consults on Revised Mutual Funds Disclosure Rules
New guidelines aim to protect the interests of investors by improving the quality of and access to disclosures and increasing accountability in the asset management sector with regard to disclosures.
August 8, 2018 -
277China
China Amends Delisting Rules Amid Vaccines Scandal
Any company involved in illegal activities, disclosure rule violations, or whose action threatens public health, national or ecological security will face compulsory delisting from domestic exchanges.
July 30, 2018 -
320ChinaChina Publishes Draft Rules on Bank WMP Business
New rules are designed to standardise the sector including by strengthening supervision, preventing shadow banking risks, improving leverage controls and protecting investors' interests.
July 23, 2018 -
192Australia & NZASIC Releases Oversight Guidance For New Financial Complaints Body
Newly-formed Australian Financial Complaints Authority will commence operation on 1 November 2018; new regulatory guidance provides ASIC powers of oversight, regulation and rule making over AFCA.
June 21, 2018 -
235Hong KongSFC Introduces New Disclosure Rules for Discretionary Account Trading
SFC requires intermediaries to disclose incentives, trading profits arising from third party products; amendments to come into effect on 25 November 2018.
May 24, 2018 -
1.0KCapital Regulation
SFC Fund Manager Code of Conduct – What You Need to Know
The ten key points you need to know about the SFC's consultation conclusions on changes to the Fund Manager Code of Conduct, due to be implemented in six months' time.
May 16, 2018 -
184China
CSRC Hands Out $1.2bn in Penalties in Bumper Year
Regulator handed out penalties amounting to $1.19bn in 2017, an 80% increase from 2016; market bans involved 44 persons, the highest in recent years.
May 15, 2018 -
216Hong Kong
SFC Identifies Best Practices for Alternative Liquidity Pools
ALP operator guidelines should include third-party order routing and information about prioritisation for orders simultaneously posted to exchanges; all ALP users should be qualified investors.
April 10, 2018
