All posts tagged "Intermediaries"
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411InternationalCPMI, IOSCO Consider Client Clearing Access Models
Improving access to client clearing is "critical" to ensuring all standardised OTC derivatives contracts are cleared through CCPs.
November 30, 2021 -
131IndiaSEBI Publishes Charter of Investor Rights in Securities Market
The charter sets out the rights and responsibilities of investors, as well as some 'dos and don'ts' of investing in the securities market.
November 21, 2021 -
173JapanJapan Unifies Licensing System for Financial Services
The change will allow agents of financial service firms to sell financial products such as loans, investments and insurance under a single license.
November 3, 2021 -
252FeatureSFC Finalises Conduct Rules for Bookbuilding, Placing Activities
New requirements on bookbuilding, pricing, allocation and placing activities will take effect in August 2022, the SFC said.
October 31, 2021 -
146India
SEBI to Stop Use of Pool Accounts for Mutual Fund Transactions
From 1 April 2022, investor money should be directly credited to the bank account of the mutual fund scheme when an investor purchases units.
October 11, 2021 -
215ChinaCSRC to Promote China-US Cooperation on Audit Supervision
The CSRC said it will create conditions to promote China-US cooperation on audit supervision, strengthen market communication, and stabilise policy expectations.
August 24, 2021 -
341AML / KYCHKEX Publishes Operational Details for New Investor ID Regime
Market system development and testing will start in Q3 2021 and intermediaries will have to develop their internal systems by the end of Q1 2022.
August 16, 2021 -
265Hong KongHKMA Notifies Banks of Enhanced Competency Framework
Banks are asked to review and assess the impact of the SFC's revised framework and take action to ensure compliance.
June 23, 2021 -
830FeatureNew Competency Framework to Take Effect from January: SFC
Raising professional standards is crucial to maintain quality markets, particularly in view of the rapidly evolving financial landscape, says SFC chief Ashley Alder.
June 21, 2021 -
247Asia-PacificDeFi May Be Subject to Licensing Requirement, Warns Thai SEC
The SEC warned that failure to obtain a licence for the issuance of digital tokens on DeFi platforms could be punishable under the Digital Assets Act.
June 3, 2021
