All posts tagged "Investor Protection"
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189Hong KongSFC Amendments to REIT Code Have Taken Effect
The SFC has also adopted a more streamlined approach to compliance with requirements regarding vetting and approval of REIT-issued announcements and circulars.
December 8, 2020 -
347ChinaCBIRC Penalises Bank of China Over April Crude Oil Losses
Bank of China was fined over 50mn yuan and ordered to correct deficiencies, strengthen compliance awareness and improve risk management.
December 7, 2020 -
626IndiaSEBI Directs Directs NSE to Triple Investor Protection Fund
SEBI says it will review the adequacy of NSE's investor protection fund on a half-yearly basis and that incremental contributions will be made "if required".
November 23, 2020 -
856MalaysiaMalaysia SC Proposes Changes Guidelines on Unit Trust Funds
The SC is consulting on changes as part of ongoing efforts to strengthen market competitiveness and develop the Malaysian funds industry.
November 13, 2020 -
837ChinaCSRC Updates Rules to Protect Convertible Bond Investors
Trading venues will have to develop an investor suitability management system, and securities firms will have to conduct client suitability assessments.
October 28, 2020 -
1.4KFeatureTaiwan FSC Outlines Plans for Capital Market Development
A 3-year roadmap to be unveiled by year-end includes plans to set up central clearing for OTC derivatives, and improve convenience and efficiency for foreign investors.
September 27, 2020 -
418Big PictureMarkets Must Remain Open, Transparent if Volatility Returns: WFE
Under no circumstances should restrictions on trading be invoked because of increased volatility, the WFE says in a guidance note.
September 17, 2020 -
1.0KBig PictureIndustry Standards Needed for Measuring Execution Quality: FMSB
Best practice principles will facilitate regulatory compliance and drive efficiencies in the measurement of execution quality, the FMSB says in a new spotlight review.
September 8, 2020 -
881Securities & TradingUS SEC Stays Implementation of NYSE Direct Listing Rules
The Council of Institutional Investors has objected to the direct listing rules on concerns that companies may circumvent investor protections built into the IPO process.
September 6, 2020 -
553China
CSRC Issues New Norms for Public Sale of Investment Funds
The revisions will further improve the conduct for fund sales and strengthen internal controls at fund sales institutions, the CSRC says.
September 6, 2020
