All posts tagged "Securities Firms"
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333ChinaCSRC Revises Rules for Managers of Publicly Offered Funds
The rules increase emphasis on ethical conduct and governance, loosen licensing restrictions, and allow public fund managers to outsource operations.
May 25, 2022 -
407ChinaShanghai Directs Exchanges, FIs to Resume On-site Operations
864 financial institutions are on a list of white-listed entities that are allowed to start sending employees back to the office. The list will be updated weekly.
May 20, 2022 -
294ChinaSSE Consults on Market Making Rules for STAR Market
The consultation comes as the CSRC releases final regulations on the introduction of a market-making mechanism for the STAR Market.
May 17, 2022 -
437ChinaChina Launches New Practice Guidelines for Securities Industry
A new database will be established to maintain records on China's 360,000 brokers. The process for Hong Kong and Taiwan licensees to practice in the mainland is simplified.
May 13, 2022 -
272Asia-PacificBSEC to Encourage Brokerage Firms to Launch IPOs
Brokerage firms that are allowed to issue IPOs will be able to increase investment flows to the market and enhance their monitoring, BSEC said.
May 6, 2022 -
359ChinaCSRC Launches Campaign to Expand Public Funds Market
Banks, insurers, brokers and foreign FIs are urged to establish licensed fund management companies. Fund investment channels will be expanded and operational rules relaxed.
May 3, 2022 -
650Crypto / Digital AssetsSFC Grants In-principle Approval to HashKey Crypto Platform
HashKey's platform will offer trading, brokerage and automated trading services for cryptocurrencies, virtual commodities, stablecoins and security tokens.
April 30, 2022 -
345KoreaFSC Korea Approves Rule Changes to Promote KONEX Market
The changes will allow retail investors to trade the KONEX market more freely and allow listed firms to more easily maintain their listing status.
April 28, 2022 -
589EnforcementTWSE 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 -
271China
CSRC to Promote Bond Issuance by Private Enterprises
Priority will be given to support bond issuances by private firms in high-tech and strategic emerging industries, the CSRC said.
March 29, 2022
