All posts tagged "Nomura"
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693ChinaJPMorgan Seeks Majority Stake in China Ventures
The US bank's Hong Kong unit has applied for 51% stake in a Chinese securities firm; also announced plans for majority stake in its fund management joint venture.
May 14, 2018 -
590ChinaCSRC Consults on Rules for Foreign Ownership in Securities Firms
Foreign majority shareholders must be reputable financial institutions with three year track record; Nomura becomes the latest to seek establishment of majority owned joint venture securities firm in China.
May 9, 2018 -
923EnforcementSFC Reprimands, Fines Nomura’s Instinet $2.2mn
The firm failed to put in place reasonable controls to ensure non-proprietary orders received execution priority, prevent erroneous and disorderly orders being sent to the market.
April 16, 2018 -
Hong Kong
Nomura Hong Kong Fined for Disclosure Failings
SFC fines Nomura Hong Kong HK$4.5 million for failing to promptly report trading misconduct by one of its traders.
July 31, 2015
