All posts tagged "Proprietary trading"
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376Securities & TradingTaiwan: Foreign Brokers Cleared of Wrongdoing in Trading Probe
A probe into foreign brokerage firms was launched last month after they sold shares in TSMC while also issuing “buy” recommendations in research reports.
April 28, 2022 -
697EnforcementTokyo Prosecutors Indict SMBC Nikko Securities Deputy President
The former deputy president is suspected of colluding with other staff to illegally manipulate stock prices to keep block trade deals with clients from falling through.
April 14, 2022 -
560Enforcement
Tokyo Prosecutors Indict SMBC Nikko Securities, Five Others
Prosecutors have filed charges against SMBC Nikko Securities and five others. The head of the firm's equity division was also arrested.
March 25, 2022 -
685Feature
Taiwan FSC Unveils Plans to Develop ESG Focused Industry Culture
Investment firms will have to take ESG and climate considerations into account in investment decisions - even for non-ESG-themed fund products and proprietary trades.
March 10, 2022 -
692ChinaCSRC Proposes to Enhance Securities Settlement System
The draft rules enable DvP settlement for proprietary and custody businesses involving institutional investors by linking securities transfers to cash payments.
January 20, 2022 -
636ChinaCSRC to Introduce Market Makers to Shanghai STAR Market
Securities firms would be eligible to act as market-makers if they have net capital above CNY 10 billion and a classification rating of Class A or higher.
January 10, 2022 -
313KoreaKRX Admits 20 Brokerage Firms to Carbon Emissions Market
The addition of the 20 brokerages is expected to stimulate the carbon emissions trading market and facilitate more appropriate pricing of emissions.
December 22, 2021 -
533FeatureMalaysia Set to Lift Restrictions on Intraday Short Selling
Intraday short selling will resume on 1 January 2022, with enhanced control measures including the automated application of the “at-tick rule”.
December 20, 2021 -
369ChinaChina Regulators Grow Increasingly Cautious of Quant Funds
AMAC has reportedly closed a fast-track channel for quant fund managers, reflecting concerns that algo-based trading can increase volatility and unfairness in markets.
December 6, 2021 -
261ChinaChina Banks Directed to Limit Proprietary Trading in Currencies
The directions are part of efforts to limit speculation on the yuan to prevent further strengthening of the currency and protect the export sector.
November 22, 2021
