All posts tagged "margin trading"
-
472Asia-PacificThailand Unveils Three-year Capital Market Development Plan
The SET's plan is aimed at broadening its investor base, scaling up digital transformation, widening access to mutual funds and streamlining regulatory processes.
February 5, 2019 -
479ChinaChina to Expand Scope, Ease Requirements for QFII, RQFII Schemes
New rules propose consolidating the QFII and RQFII into a single scheme, expanding the scope of investment products allowed and easing qualifying requirements for applicants.
February 1, 2019 -
537Fintech / RegtechJapan FSA Publishes New Draft Framework on Crypto Assets
The framework will impose restrictions on privacy coin listings, margin trading, derivative transactions and ICOs, and introduce new requirements to protect investors against hacks.
December 19, 2018 -
396Fintech / Regtech
Cryptocurrency Framework Needs Update – Japan FSA
On-site inspections revealed a lack of internal controls, inadequate governance and poor business models at exchanges.
August 16, 2018 -
346EnforcementSingaporean Jailed for 4 Months for ‘False Trading’
Mok Piak Liang convicted of manipulating share price to push up value of stock pledged to margin account and avoid having to top-up account by other means.
January 24, 2018 -
742AML / KYCGRC – The Path to Managing Regulatory Change Intelligently
Why small and medium-sized firms don’t need an ‘oversized’ compliance effort.
June 29, 2017 -
Hong Kong
HKFE, SFC Fire off Conduct Warnings to Brokers
June 23, 2017 -
China
China Said to Limit Securities Accounts
CSRC to clamp down on trading under fake identities; limit investors to 3 accounts.
September 15, 2016 -
China
China Targets Trading Platforms to Curb Unauthorised Margin Lending Channels
The China Securities Regulatory Commission is tightening oversight of the widely-used HOMS trading platform, which is seen to have facilitated stock investors borrowing money outside approved margin lending channels and aiding recent wild fluctuations on the A-share market.
July 20, 2015 -
China
China Revises Margin Trading and Short-Selling Rules
The China Securities Regulatory Commission is proposing a ceiling on margin trading at brokerages and for existing margin trade contracts to be rolled over.
June 15, 2015
