All posts tagged "Nomura"
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195ChinaGoldman Files Application to Control China Securities JV
Goldman is seeking to bring its China business in line with its operations in other parts of the world – as its local partner folds its operations into the joint venture.
August 22, 2019 -
374ChinaMorgan Stanley, JP Morgan Take Control of China JVs
Morgan Stanley has become the latest foreign firm to control a securities JV in China, while JP Morgan becomes the first foreign firm to own a majority stake in an asset management JV.
August 6, 2019 -
392EnforcementUS SEC Penalises Nomura for Mis-sold Mortgage Backed Securities
Nomura Securities International has agreed to repay approximately $25mn to affected customers and $1.5mn in SEC fines to settle the charges.
July 17, 2019 -
667China
JPMorgan, Morgan Stanley to Take Control of China JVs
JPMorgan is likely to become the first foreign firm to gain a controlling stake in an asset management joint venture in China, while Morgan Stanley may soon control its China securities unit.
July 6, 2019 -
768ChinaChina to Remove Foreign Ownership Limits a Year Early
Premier Li Keqiang said at the World Economic Forum in Dalian that foreign ownership limits in the financial sector will end in 2020, ahead of schedule.
July 3, 2019 -
614Enforcement
Japan FSA Takes Action Against Nomura Over Information Leak
The FSA has issued a number of business improvement orders to Nomura after it was revealed that its employees had shared sensitive stock market information with clients.
May 29, 2019 -
522Enforcement
Japan FSA to Issue Improvement Order Against Nomura
The FSA will reportedly order Nomura Securities to strengthen controls and systems to prevent recurrence of a recent information leak.
May 24, 2019 -
602ChinaChina, Japan Sign Agreement to Facilitate ETF Cross-Listings
The Shanghai Stock Exchange and Japan Exchange Group have signed an ETF Connectivity Agreement to streamline investment in the each other’s markets.
April 23, 2019 -
1.6KChina
China Approves JP Morgan, Nomura Securities Joint Ventures
JP Morgan and Nomura have been given regulatory approval to set up new majority owned securities joint ventures in China.
April 1, 2019 -
804ChinaChina Regulators Share Common Message of Opening Up
Regulators at the three-day China Development Forum in Beijing had a common message for the market – that China plans to ramp up efforts to open up the financial sector this year.
March 27, 2019
