All posts tagged "Securities Firms"
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444ChinaCSRC to Use Investor Protection Funds to Bail Out Brokers in Crisis
The draft rules say securities firms would need to provide equivalent collateral for loans from the Investor Protection Fund, which will charge 1.5 times the market lending rate.
July 8, 2019 -
400China
China to Resume Approvals for Domestically Funded Securities Firms
All newly approved brokerages since 2008 have been joint ventures between domestic and foreign investors. But market access should also be broadened to domestic investors, the CSRC says.
July 8, 2019 -
433China
China to Trial Discretionary Control for Investment Advisers
Participating companies will be allowed to take full discretionary control of their clients’ investments, and charge fees based on AUM and performance.
July 6, 2019 -
552KoreaKorea to Ease Data Barriers Within Financial Services Firms
In addition to easing information barriers within financial services firms, the FSC will also allow them to outsource their core businesses to third parties with as fintech startups.
May 13, 2019 -
533ChinaBeijing Municipal Government Seeks QDII, RQDII Expansion
Beijing vice mayor Yin Yong says securities firms, fund managers and futures trading firms should be able to to invest outside China through the QDII and RQDII schemes.
April 15, 2019 -
639Capital RegulationSFC Finalises Guidelines on Securities Margin Lending
The guidelines will take effect in October, requiring brokers to limit margin lending to five times their capital, among other controls to reduce excessive leverage.
April 5, 2019 -
381China
CSRC Bars Brokers from Facilitating ‘Shadow’ Margin Financing
The CSRC is prohibiting brokers from any business that could facilitate informal margin financing, which it has flagged as a potential source of risk.
March 14, 2019 -
845Fintech / RegtechMoody’s Explores Credit Implications of Cyber Risk
Banks are at high risk because they hold the data and funds of private clients, and provide access to their services through multiple online and digital channels, says Moody's Investors Service.
March 6, 2019 -
734Securities & TradingNine Taiwan Brokers Approved to Issue ETNs – Report
The Taiwan Stock Exchange and GreTai Securities Market have so far approved a total of 9 securities firms to issue exchange traded notes in Q2 this year.
February 22, 2019 -
590Asia-PacificVietnam’s SSC to Beef up Handling of Stock Market Violations
The SSC is coordinating with Vietnam's Ministry of Public Securities to ensure violators face criminal charges in addition to the existing administrative sanctioning regime.
January 25, 2019
