All posts tagged "Securities Firms"
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271ChinaShanghai to Allow Multinational Firm Employees to Trade A-Shares
The initiative is aimed at encouraging more multinational companies to set up their regional headquarters in Shanghai, which seeks status as a global financial centre.
August 15, 2019 -
287ChinaChina Relaxes ‘One Size Fits All’ Margin Financing Rules
Brokerage firms can set lower thresholds before margin calls need to be initiated, and can accept additional forms of collateral to make up any shortfalls.
August 12, 2019 -
553FeatureSFC Raises Standards for Data Submissions by Brokers
In-scope brokers are expected to implement system changes and make other arrangements needed for compliance with the new Data Standards by end-October 2020.
August 1, 2019 -
462China
CSRC Issues Comprehensive Rules for Brokerage Firms
The role of brokerage firms in the securities market has not been fully utilised, and the professional services provided to investors are 'seriously inadequate', the CSRC says.
July 31, 2019 -
531China
CSRC 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 -
462China
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 -
534China
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 -
632KoreaKorea 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 -
604ChinaBeijing 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 -
731Capital Regulation
SFC 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
