All posts tagged "securities companies"
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369ChinaCSRC Issues Draft Rules Promoting ‘Honest’ Investment Banking
The draft rules require investment banking intermediaries to strengthen risk control and strictly prohibit the use of below-market pricing to win business.
September 30, 2021 -
214Capital RegulationPBOC Caps Short-term Debt Financing by Securities Firms
The outstanding balance of short-term financing instruments issued by securities companies shall not exceed 60 percent of net capital.
August 2, 2021 -
162ChinaSumitomo Mitsui Seeks Approval to Launch China Brokerage
Sumitomo Mitsui Financial Group and SMBC Nikko Securities filed a joint application with the CSRC on Tuesday.
July 28, 2021 -
229China
CSRC Implements ‘Whitelist’ System for Securities Sector
The 29 firms that have entered the "white list" will receive lower levels of supervisory scrutiny and be allowed greater flexibility in their business processes.
June 2, 2021 -
209FeatureTokyo Bourse Plans to Extend Trading Hours – Report
Longer trading hours are expected to increase participation from overseas investors, as well as local retail investors that trade after work.
May 18, 2021 -
362AML / KYCThailand to Require UBO Transparency in Bond Markets
Non-residents who invest in debt securities in Thailand are required to open Segregated Securities Accounts with custodians at the UBO level.
April 14, 2021 -
304ChinaCSRC Strengthens Industry Controls to Prevent Insider Trading
Listed companies are required to establish a system for the registration and management of individuals who possess inside information.
February 13, 2021 -
669China
CSRC Issues New Classification Regulations for Securities Firms
The new regulations maintain the overall framework of the regulatory system of classification and focus on optimising the CSRC’s evaluation indexes to address practical issues.
July 15, 2020 -
587China
CSRC to Ease Rules for Major Shareholders of Securities Firms
The profitability, net assets and experience requirements will be relaxed for major shareholders of securities companies.
June 17, 2020 -
396China
CSRC to Optimise Classification System for Securities Firms
The changes are aimed at ensuring the classification system encourages firms to maintain focus on risk management capabilities and continuous compliance.
May 25, 2020
