All posts tagged "distribution"
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653FeatureHKMA, SFC to Jointly Review OTC Product Pricing at Intermediaries
The thematic review will assess the spreads intermediaries charge for non-exchange traded investment products such as bonds and structured products.
May 19, 2020 -
318IndiaSEBI Approves Proposals to Tighten Investment Adviser Regulation
The proposals approved include higher net worth requirements for investment advisers, a cap on fees, and segregation of investment advice from product distribution.
February 21, 2020 -
672EnforcementHK SFC Fines Wealth Manager for Noncompliance with Taiwan Laws
Capital Global Management Limited was distributing offshore investment funds and offering investment advice in Taiwan despite not being authorised by Taiwan's regulator.
February 17, 2020 -
620Fintech / RegtechIOSCO Highlights Debt Market Concerns in Annual Work Programme
The 2020 work programme provides an update on five existing priorities and an overview of planned work on a new priority - corporate debt and leveraged loans.
January 31, 2020 -
484India
SEBI Proposes Stricter Rules for Investment Advisers
The rules include higher net worth requirements, caps on advice fees, and client level segregation of investment advice from product distribution.
January 20, 2020 -
645Australia & NZASIC, APRA Granted New Intervention Powers
ASIC can intervene where financial and credit products put consumers at risk; APRA can intervene to prevent harm to superannuation members.
April 5, 2019 -
426ChinaMainland Investors Gain Access to HK Stock Research
New rules enable better access to research reports and advice on HK-listed stocks, and opportunities for HK securities firms to distribute their research through mainland firms.
July 4, 2018
