All posts tagged "Investment Banks"
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334ChinaChina May Grant Securities Licences to Major Banks – Report
At least two major banks are expected to be allowed to conduct investment banking business intially, rather than the full range of securities services.
June 30, 2020 -
518EnforcementHong Kong: Investors Seek Compensation for Failed IPOs – Report
The SFC has issued almost HK$1bn in penalties for IPO sponsor failures over 20 years. These proceeds have gone to the government, not investors.
May 11, 2020 -
505China
CSRC Announces Top 12 Priorities to Deepen Reforms
The priorities include encouraging more medium- and long-term funds to enter the market, improving the legal system, and strengthening supervision.
September 12, 2019 -
744KoreaKorea to Ease Data Barriers Within Financial Services Firms
In addition to easing information barriers within financial services firms, the FSC will also allow them to outsource their core businesses to third parties with as fintech startups.
May 13, 2019 -
1.2KEuropeEU, Singapore Adopt Decision to Mutually Recognise Derivatives Venues
The European Commission recognises Singapore trading venues as MiFIR-compliant; MAS has exempted EU trading facilities from its markets licensing requirements.
April 2, 2019 -
902Big PictureGFMA, PwC Identify Technology Challenges for Investment Banks
A new report from the GFMA and PwC says third-party providers could pose a challenge to banks’ core offerings if banks are not keeping pace with innovation.
March 22, 2019 -
529FeatureSFC Eying Rules on Instant Message Trade Orders
Executive director also says regulator to develop common standard on the content and format of data required to be kept by investment firms.
April 16, 2018 -
852InternationalWho’s Picking up the MiFID II Bill?
MiFID II’s rollout into the middle of a market reversal and complaints about asset manager fees couldn’t have come at a worse time.
March 12, 2018
