All posts tagged "Securities Firms"
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443KoreaKorea 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 -
475ChinaBeijing 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 -
549Capital 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 -
329ChinaCSRC 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 -
796Fintech / 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 -
635Securities & 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 -
542Asia-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 -
352Feature
S. Korea Broadens Professional Investor Pool to Boost Capital Markets
In addition to easing the requirements for registering as a professional investor, the FSC will introduce a new class of brokerage firm that will specialise in channelling funds to SMEs.
January 23, 2019 -
479Asia-PacificStock Exchange of Thailand Seeks Digital Asset Licence
The SET plans to apply for a licence to operate a new digital asset exchange, to be set up in collaboration with its members.
January 18, 2019 -
400ChinaCiti to Divest Stake in Mainland Securities Joint Venture
Citi is looking to form its own majority-owned securities joint venture in China following new rules allowing foreign firms to acquire controlling stakes in such partnerships.
January 10, 2019
