All posts tagged "securities companies"
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254Securities / DerivativesTaiwan FSC Allows Banks to Offer ‘One-Stop’ Investment Services
Under new rules, bank customers will have the option to direct their bank to dispose of foreign securities obtained through the conversion of structured products.
July 29, 2022 -
260JapanJPX to Enhance Dialogue Between Listed Companies & Investors
JPX and JPXI will work with IR platform operator Minsetsu to promote communications between listed companies and investors.
July 28, 2022 -
483Fintech / RegtechTaiwan FSC Set to Open Applications for Internet-Only Insurer Licences
Applications will be open from 1 August. Fubon Financial and CTBC Financial have reportedly expressed interest in the licence.
July 6, 2022 -
476ChinaChina Expands Foreign Investor Access to Exchange Bond Market
Foreign institutional investors permitted to participate in the interbank bond market are also allowed to participate in both the SSE and SZSE's exchange bond markets
July 1, 2022 -
380Asia-PacificOJK Indonesia Restricts Stock Trading by Finance Companies
Indonesia's OJK also introduced new reporting requirements for securities companies conducting business as underwriters and broker-dealers.
June 26, 2022 -
433ChinaCSRC Orders Six Brokerage Firms to Correct Violations
The CSRC has issued warning letters to six securities companies, ordering them to correct violations involving their overseas subsidaries.
June 14, 2022 -
409ChinaCSRC to Strengthen Integrity of Securities Issuance Practices
The guidelines aim to improve systems and mechanisms used by intermediaries to prevent dishonest practices and corruption in securities issuance activities.
June 3, 2022 -
415China
CSRC Raises Scrutiny of Investment Banks, IPO Sponsors
New guidelines clarify the due diligence obligations of sponsors. The CSRC has also set out five situations that would trigger on-site inspections of internal controls.
June 1, 2022 -
470China
CSRC Unveils Capital Market Measures to Accelerate Recovery
The measures include support for IPO applicants, listing fee waivers, and regulatory support for securities firms.
May 24, 2022 -
634EnforcementTWSE Probes Foreign Securities Firms Over Research Reports
There have been rumours that foreign securities firms have been selling off stocks before they achieve the target prices specified in published research reports.
March 30, 2022
