All posts tagged "Intermediaries"
-
97AML / KYCCSRC Targets ‘Shadow Shareholders’ in New Guidelines
A 36 month lock up period is being introduced for investors who purchase shares in companies within 12 months before their IPO applications.
February 12, 2021 -
132FeatureSFC Sets Out Conduct Standards Expected in Capital Raisings
The proposals establish the standards of conduct expected of intermediaries participating in bookbuilding, pricing, allocation and placing activities.
February 9, 2021 -
210AML / KYCSEBI Proposes New Process for KYC in Securities Market
Under the proposal, KYC Registration Agencies, stock exchanges and depositories would be responsible for client KYC processes.
January 17, 2021 -
213ChinaChina: Revised Criminal Law Raises Penalties for Capital Market Offences
The amendments focus on fraudulent issuance, information disclosure falsification, provision of false certification documents by intermediaries, and market manipulation.
January 2, 2021 -
786Asia-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 -
549Feature
SFC 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 -
589ChinaTop 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 -
531Enforcement
SEBI 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
