All posts tagged "financial advisors"
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454SingaporeSingapore’s Insurers Gets New Culture and Conduct Guidance
Two new papers have been published to help Singapore's insurance industry in elevating their culture and conduct standards.
March 23, 2022 -
306Crypto / Digital AssetsThai SEC Revises Definitions for Institutional, HNW Investors
Institutional investors will include those with the ability to analyse and absorb risks in complex and high-risk products, such as VC and PE firms, investment analysts, and company directors.
March 17, 2022 -
441Asia-PacificSET Revises Rules to Encourage Listings by Foreign Firms
Foreign companies will now only have to retain financial advisors for 1 year after listing and the quiet period of strategic shareholders has been shortened to 1.5 years.
February 24, 2022 -
240Asia-Pacific
SET Amends Listing Rules to Introduce Market Cap Test
The listing rule changes will enable companies in target sectors to more easily access funding from Thailand's capital market.
May 21, 2021 -
304Australia & NZNew Zealand Launches New Financial Advice Regime
Anyone who gives regulated financial advice to retail clients must either hold or operate under a Financial Advice Provider licence granted by the FMA.
March 16, 2021 -
927EuropeEU Sets Out Action Plan to Achieve Capital Markets Union
The Action Plan seeks to make financing more accessible to European companies and integrate national capital markets into a genuine single market.
September 27, 2020 -
738SingaporeMAS Proposes New Format for Reporting Financial Advisor Complaints
Collecting data in a machine-readable format will increase efficiency by removing the need for manual processes and reducing the risk of human errors, MAS says in a consultation paper.
September 5, 2019 -
622Australia & NZAustralia Authorises New Financial Complaints Body
The Australian Financial Complaints Authority, going into operation on 1 November this year, will focus on complaints by consumers and small businesses against financial firms.
May 4, 2018
