All posts tagged "Nomura"
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241InternationalUNEP FI Warns of Inconsistencies in FIs’ Transition Plans
New recommendations offer a baseline for asset owners assessing the credibility of their asset managers’ net-zero commitments and investment strategies.
October 29, 2021 -
354Securities & TradingTaiwan: Twelve Fund Managers to Receive Policy Concessions
Under two separate initiatives, eight foreign fund managers and four investment trust companies will receive preferential treatment for one year.
October 8, 2021 -
287JapanJSDA to Form Industry Panel to Review IPO Pricing Mechanism
Startups say IPO prices are set too low prior to listing and that they have often surged on listing. Brokers say the gaps are caused by volatility.
September 21, 2021 -
418Hong KongHKMA, SFC to Develop Concentration Risk Alerting System – Report
The new system is intended to detect excessive risk-taking by banks and investment funds to guard against an Archegos style collapse.
September 1, 2021 -
315ChinaJP Morgan Approved to Take Full Ownership of China Securities Unit
JP Morgan already had a controlling stake in the unit. The new approval makes it the first foreign firm to fully own a securities venture in China.
August 8, 2021 -
208ChinaCSRC Releases Latest Grades for Securities Firms
Goldman Sachs Gaohua Securities, Morgan Stanley Huaxin, and Credit Suisse Founder Securities made the list for the first time.
August 2, 2021 -
868Contributed ArticleFamily Offices Should Start Behaving Like Regulated Entities
Family offices should be reviewing their governance and risk management frameworks in light of the Archegos collapse, says Marie Gervacio.
July 30, 2021 -
358EuropeIndependent Report Finds Risk Control Failures at Credit Suisse
The report indicates that the risks were known, but responsible parties in the first and second lines simply failed to act.
July 30, 2021 -
162ChinaSumitomo Mitsui Seeks Approval to Launch China Brokerage
Sumitomo Mitsui Financial Group and SMBC Nikko Securities filed a joint application with the CSRC on Tuesday.
July 28, 2021 -
527EnforcementNomura, UBS, UniCredit Fined for Participating in Trading Cartel
During Europe's sovereign debt crisis, the banks shared information about their EGB bidding and trading strategies in Bloomberg terminal chat rooms.
May 25, 2021
