All posts tagged "Investor Protection"
-
209EnforcementBursa Punishes RHB Representative for Unauthorised Trading
The former representative committed the breaches for personal financial gain and attempted to conceal his misconduct from RHB Investment Bank’s management.
March 5, 2021 -
201AML / KYCSEBI Consults on Creation of Accredited Investor Class
SEBI says the new investor classification can help it to focus its regulatory resources on investors that need more protection and facilitate innovation in the securities market.
March 4, 2021 -
199ChinaCSRC Revises Rules on Corporate Bond Issuance, Ratings
Companies will no longer be required to engage a rating agency and obtain a credit rating before they issue bonds for sale on the public market.
March 4, 2021 -
282Asia-PacificThailand SEC to Enhance Protections for Digital Asset Investors
The SEC is consulting new qualifications for retail investors in digital assets, and requiring digital asset fund managers and investment advisors to be licensed.
March 1, 2021 -
219InternationalIOSCO Publishes Work Programme for 2021-2022
New priorities will be to address the risks of NBFI activities and risks exacerbated by the Covid-19 pandemic such as misconduct, fraud and operational resilience.
March 1, 2021 -
371AML / KYCGreater Bay Regulators Sign MoU on Wealth Management Connect
The regulators agree to issue guidance to banks on product due diligence, investor protection, AML/CFT requirements and personal data protection, among other areas.
February 7, 2021 -
168KoreaKorea Likely to Extend Short-selling Ban Amid Political Pressure
The FSC has previously said it would lift the short-selling ban in March, but it is now increasingly likely the ban will be extended another three months.
February 3, 2021 -
247AML / KYC
Thailand to Introduce Rules for Digital Asset Wallet Providers
The SEC is concerned that digital asset wallets and custodian services could be used for drug offences and money laundering.
February 3, 2021 -
325FeatureRegulators, Lawmakers Express Concerns Over GameStop Trading
Regulators from the US to the UK and Malaysia have issued statements expressing concerns over the heightened volatility seen in the US market over the past week.
February 1, 2021 -
133International
IOSCO Offers Guidance on Enhancing Complaint Handling Mechanisms
IOSCO has published a new report to help jurisdictions identify and address gaps in their complaint handling and redress systems.
January 29, 2021
