Any major operational risk event that occurs must be reported to the SAC on the same day, along with related impacts and response measures.
December 7, 2023Under the proposals, institutional and retail investors will be subject to the same rules, and naked short selling can be penalised with a 10 year market ban.
November 17, 2023The CSRC is concerned that excessive leverage could cause excessive market risks, especially in a volatile stock market environment.
November 10, 2023The proposal adjusts the way securities firms calculate risk weightings, effectively reducing their capital requirements and allowing them to deploy more funds into the capital market.
November 7, 2023The government will ban short selling until end June 2024 and work on improving the short selling system, said FSC chairman Kim Joo-hyun.
November 6, 2023A special team will launch next week to investigate whether more global investment banks engaged in illegal short-selling, and whether local securities firms helped them.
November 1, 2023The SEC is collaborating with securities firms and asset managers to develop a stress test to assess risks and vulnerabilities in the industry.
October 17, 2023The margin ratio for securities lending has been raised, and restrictions are being imposed on listed company executives and strategic shareholders.
October 17, 2023Cross-border securities broking, securities lending, fund sales and investment consulting for domestic investors are all prohibited.
October 13, 2023The eligibility, product range, investment and sales limits will be enhanced, and securities firms will be allowed to participate.
September 29, 2023