All posts tagged "investment advisers"
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623EnforcementKorea FSS to Bolster Capacity at Special Investigations Unit
The FSS said an increase in manpower and an expansion of the unit's scope are needed to strengthen its capacity to respond to unfair trading practices in the capital market.
January 17, 2022 -
31.9KAML / KYCUS Real Estate the ‘Preferred’ Money Laundering Destination: GFI
Lawyers, real estate agents, investment advisers, and bank employees have repeatedly facilitated money laundering through US real estate by HNWIs and PEPs.
August 13, 2021 -
359Securities & TradingUS SEC Warns of Misleading Statement Regarding ESG Investing
Many financial firms may be offering ESG products only because it is lucrative to do so, says SEC commissioner Hester Peirce.
April 15, 2021 -
396Enforcement
US SEC Forms Task Force to Pursue ESG-related Misconduct
The task force’s initial focus will be to identify material gaps or misstatements in issuers’ disclosure of climate risks under existing rules.
March 8, 2021 -
692KoreaFSS Bans Unlicensed Investment Advice on Online Chatrooms
Unlicensed advisers are barred from giving one-on-one investment advice to clients, but chat rooms have been serving as platforms for illegal consulting.
October 27, 2020 -
699IndiaSEBI Guidelines for Investment Advisers Take Effect
The guidelines, finalised in July, require investment advisors to only offer either advisory or distribution services to a client, but not both.
September 30, 2020 -
681ChinaUS Regulators Unveil Plan to Deal With Chinese Listings
A presidential working group which includes the chairmen of the SEC, CFTC and Fed has recommended changes to US listing rules to require access to companies' audit papers.
August 8, 2020 -
1.1KIndia
SEBI Finalises Amendments to Investment Adviser Rules
The final rules increase the net worth, qualification and experience requirements for investment advisers and introduce client-level segregation of advice and distribution activities.
July 8, 2020 -
596India
SEBI Lowers Net Worth Requirement for Gift City Investment Advisers
The net worth requirement has been lowered to $700,000 from $1.5mn previously following feedback on SEBI's January guidelines for Gift City investment advisers.
March 3, 2020 -
577India
SEBI to Allow Investors Direct Access to Mutual Funds via Stock Exchanges
The change would allow investors to bypass distributors, investments advisers and other intermediaries when purchasing and redeeming mutual fund units.
February 28, 2020
