All posts tagged "Intermediaries"
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648Asia-PacificSri Lanka SEC to Overhaul Capital Market Rules in Stages
"The market has evolved over the past ten years and technology has also raised the bar. There is a need to be in line with the times,” SEC Chairman Viraj Dayaratne told Regulation Asia.
October 13, 2020 -
487FeatureSFC Sets Minimum Period for Client Access to Trade Documents
Intermediaries have one year to align the minimum online retrieval period of their posted trade documents with the new requirements.
October 1, 2020 -
532ChinaTop Chinese Court Issues Guidance on Punishing ChiNext Crimes
The "zero tolerance" guidance came days before the first batch of companies are set to debut under ChiNext's new registration-based system.
August 20, 2020 -
504EnforcementSEBI to Only Accept Complaints through Online Platform
SEBI's web-based centralised grievance redressal system known as SCORES has been in operation for 9 years. A new mobile app was launched in March.
August 13, 2020 -
1.4KAML / KYCHKMA, IA Issue Guidance on Video Distribution of Insurance Products
Insurers and intermediaries such as banks have to apply to enter the InsurTech Sandbox to test the use of video conferencing to distribute long term insurance policies.
August 7, 2020 -
1.1KChinaChina Issues Authoritative Guidance on Handling Bond Disputes
In disputes involving breach of contract, fraud or false statements - the issuer, its controlling shareholders, directors, and senior management will be held liable for bondholder losses.
July 17, 2020 -
408Enforcement
High-level Panel Proposes Overhaul of SEBI Enforcement Mechanism
The panel says intermediary regulations need to be amended to speed up enforcement action, and that SEBI should be granted the authority to seize assets subject to investigation.
June 18, 2020 -
901Fintech / RegtechIOSCO Consults on Updated Set of Outsourcing Principles
The principles include selection due diligence, information security, confidentiality issues, outsourcing risk concentration, and access to data, among others.
May 29, 2020 -
1.1KAML / KYC
SEBI Names Entities That Can Authenticate Aadhaar for e-KYC
Intermediaries and mutual fund distributors that want to use Aadhaar authentication services for e-KYC are required to enter into an agreement with one of the eight entities named.
May 14, 2020 -
635Feature
SFC Steps Up Scrutiny of Fund Industry Amid Recent Volatility
The SFC reminds managers, trustees, custodians and intermediaries of funds to look out for clients interests amid "unprecedented volatility across asset classes".
March 27, 2020
