Banks are asked to absorb selling pressure caused by retail investors withdrawing funds from wealth management products and bond funds.
December 16, 2022IOSCO chair Jean-Paul Servais said new standards for regulating "crypto conglomerates" are an "obvious necessity."
November 30, 2022The SESC has recommended that the FSA punish SMBC Nikko Securities for stock price manipulation and shortfalls in its trading surveillance system.
September 30, 2022QUICK Corp will disseminate real time market information obtained from Osaka Digital Exchange's Proprietary Trading System for listed securities.
August 9, 2022KTF Capital Management had a HK$20mn deficit between 13 and 18 December 2018 but misrepresented to the SFC that it maintained sufficient liquid capital during the period.
August 1, 2022The heads of the State Securities Commission and Ho Chi Minh Stock Exchange have been dismissed. Several others have been reprimanded.
May 30, 2022A 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, 2022The 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, 2022Prosecutors have filed charges against SMBC Nikko Securities and five others. The head of the firm's equity division was also arrested.
March 25, 2022Investment 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