All posts tagged "Investor Protection"
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482EnforcementKorea: Optimus Asset Management Ordered to Suspend Business
Company executives will be removed and designated administrators will take over their duties. Optimus is accused of fabricating depository statements sent to brokers.
July 1, 2020 -
504ChinaChina Sets Stage for GBA Wealth Management Connect Scheme
Under a pilot scheme, Greater Bay Area residents will be able to invest in wealth management products distributed by GBA banks across boundaries.
June 30, 2020 -
312EnforcementHigh-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 -
601ChinaAMAC Issues Guidance on Private Fund Performance Remuneration
The guidelines articulate four basic principles private fund managers are required to follow in designing and implementing performance remuneration mechanisms.
June 13, 2020 -
839Fintech / RegtechTaiwan Fintechs to Gain Access to Canada’s Securities Sandbox
The CSA sandbox allows firms to obtain exemptive relief from securities law requirements to test new products and services in the Canadian market on a time-limited basis.
June 12, 2020 -
571Big PictureRegulatory Change a Challenge for Hong Kong Fund Managers
Overregulation is an issue for some fund managers in Hong Kong, but the industry is also calling for greater regulatory clarity around GBA initiatives and ESG standards, according to a KPMG-HKIFA survey report.
June 10, 2020 -
618Fintech / Regtech
SEBI Launches Regulatory Sandbox for Capital Market Participants
Regulated entities will be granted facilities and flexibilities to experiment with fintech solutions in a live environment, on a limited set of real customers, for a limited time frame.
June 9, 2020 -
390KoreaS. Korea Enhances Flexibility for Financial Investment Businesses
The legislative revisions will allow firms greater flexibility to implement Chinese walls and outsource key functions, while allowing for harsher penalties when issues arise.
May 5, 2020 -
433Feature
S. Korea Finalises Risk Management Rules for Private Equity Funds
Private equity funds will have to undergo regular audits, adopt new valuation guidelines, conduct regular liquidity stress tests, and cap leverage at 400% of assets, among other measures.
April 27, 2020 -
605FeatureIOSCO Forms Task Force to Address Sustainable Finance Issues
The Task Force will work on sustainability and ESG disclosure challenges for investors, including to enhance transparency and address investor protection issues.
April 15, 2020
