All posts tagged "professional investors"
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276FeatureHK Bourse Finalises Changes to Professional Debt Regime
The issuer net assets requirement will be raised, a minimum issuance size will be introduced, and state corporations will be required to meet issuer eligibility requirements.
August 24, 2020 -
479ChinaShanghai Bourse Issues Draft Rules on ‘Targeted’ Convertible Bonds
Targeted convertible bonds to be used to support mergers, acquisitions, reorganisation, restructuring, or refinancing of listed companies.
July 6, 2020 -
359Securities & TradingTaiwan Considers Establishing New Market for SMEs
Only professional investors would be allowed to buy or sell shares on the new platform, which would be independent of Taiwan's other fundraising markets.
May 25, 2020 -
553EnforcementSFC Fines Convoy Asset Management Over Bond Sales
The firm failed to comply with product due diligence requirements, client suitability obligations and specific guidance on the sale of fixed income products.
May 20, 2020 -
354Australia & NZASIC Finalises New Licensing Framework for Foreign Firms
The framework introduces a new 'foreign AFS' licensing regime, and licensing relief for foreign fund managers seeking to induce investment from certain professional investors such as super funds.
March 11, 2020 -
547Hong Kong
SFC, HKMA to Launch New Survey to Assess Product Selling Risks
The survey will help the SFC and HKMA identify risks associated with the selling activities of intermediaries and coordinate their responses to address areas of common concern.
December 10, 2019 -
472Feature
HKEX Reviews Listing Regime for Debt Issues to Professional Investors
HKEX wants to raise the minimum net asset requirement for issuers from HK$100mn to HK$1bn, and to introduce a minimum debt issuance size of HK$100mn, among other proposals.
December 9, 2019 -
820EnforcementUPDATED – South Korea Cracks Down on High-Risk Derivatives Sales
Penalties for mis-selling are being toughened to include fines up to 30 million won and punitive fines up to 50 percent of unfair gains. New standards for professional investors also established.
November 14, 2019 -
603Korea
Korea FSC Offers New Channels for Venture Capital Investment
Securities, asset management and venture capital firms can obtain a license to operate a fund which raises capital from investors to list on the KRX and invests in unlisted companies.
October 1, 2019 -
454Korea
Korea Eases Criteria for Professional Investor Registration
The move is expected to increase the pool of professional investors from under 2000 to over 370,000. A new trading venue for unlisted equity securities is also planned.
August 14, 2019
