All posts tagged "Investor Protection"
-
557ChinaCSRC Optimises Rules on Administrative Reconciliation
The revisions will help to ensure investors are compensated for losses in a timely manner and market order is restored as soon as possible, the CSRC says.
August 14, 2020 -
621Securities & TradingSingapore, Israel to Enhance Supervisory Cooperation for Dual Listings
SGX and the Tel-Aviv Stock Exchange entered a partnership in May 2018 pledging to engage technology companies to list on both exchanges, but so far no companies are dual listed on both.
August 13, 2020 -
541ChinaUS 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 -
966ChinaChina Paves Way for Class Actions in Securities Disputes
New regulations issued by China’s Supreme Court provide channels for small and medium investors to pursue joint litigation in securities disputes.
August 7, 2020 -
733FeatureFSC Korea to Rein in Structured Products Issuance
The FSC will impose new rules for securities firms on stress testing, liquidity management, leverage and mandatory FX hedging, among its measures to protect investors from risky products.
August 4, 2020 -
701EnforcementKorea: 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 -
912ChinaChina 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 -
457EnforcementHigh-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 -
713ChinaAMAC 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 -
1.1KFintech / 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
