All posts tagged "Research"
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617InternationalIOSCO Publishes Guidance on Debt Raising Conflicts of Interest
The final guidance presents nine measures that address potential conflicts of interest and associated conduct risks when issuers are preparing to raise debt finance.
September 22, 2020 -
891InternationalNGFS Publishes Two-year Work Programme, New Charter
A new NGFS workstream being created will identify missing data items needed for effective climate-related and environmental risk analysis.
September 7, 2020 -
759EnforcementFSS Prompts JP Morgan Securities Seoul to Enhance Internal Controls
South Korea's FSS has reportedly instructed the Seoul branch of JP Morgan Securities to strengthen its internal controls on inter-subsidiary relations.
April 22, 2020 -
503International
IOSCO Offers Guidance on Reducing Conflicts in Debt Capital Raising
The guidance includes proposed regulatory measures to address potential conflicts of interest and associated conduct risks that could arise in the debt capital raising process.
December 18, 2019 -
2.0K1Press ReleaseHaymarket Enters into Strategic Partnership to Further Develop Regulation Asia
Through this partnership, both firms can look to strengthen their editorial expertise with the goal of providing their respective audiences with deeper coverage on critical issues.
November 29, 2019 -
972Asia-PacificPhilippine SEC Drafts Framework for Cross-border Publication of Research
Under the draft framework, capital market professionals authorised by the SEC can issue research reports in ASEAN countries that are MoU signatories: Malaysia, Singapore and Thailand.
July 8, 2019 -
1.3KEnforcementSFC Fines Credit Suisse $2.8m over Research Reports
Credit Suisse has been fined $2.8m for failing to disclose investment banking relationships and market making activities in research reports on Hong Kong-listed securities.
June 20, 2019 -
671ChinaMainland Investors Gain Access to HK Stock Research
New rules enable better access to research reports and advice on HK-listed stocks, and opportunities for HK securities firms to distribute their research through mainland firms.
July 4, 2018 -
653Asia-PacificFund Managers Negative on MiFID II Research Unbundling – Report
New RSRCHXchange survey reveals non-European fund managers negative about unbundling requirements, while recognising positive impact for investors; impact expected to be felt Asia within 2-4 years.
June 20, 2018 -
660China
China Allows Domestic Investors to Buy Hong Kong Equity Research
The CSRC has allowed certain types of Hong Kong brokerages to sell locally-focused research to Chinese mainland investors as it looks to further integrate the two markets.
April 26, 2018
