All posts tagged "Securities Firms"
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169Asia-PacificThailand to Launches DLT Pilot Trading Corporate Bonds
The DLT project was first announced in September, and will first test trading with bonds before expanding to equities, derivatives and investment funds.
November 26, 2019 -
508AML / KYCFATF Begins Assessment of Japan’s AML Regime
For the first time, cryptocurrency exchanges will also subject to the review, the first assessment of Japan’s AML system in 11 years.
October 30, 2019 -
457Asia-PacificMyanmar to Open Stock Market to Foreign Nationals in Phases
The SECM has decided to open the stock market only to foreign nationals living in Myanmar for the time being, but a new board planned for Q3 2020 will reportedly allow foreigners to trade freely.
October 24, 2019 -
1.1KCapital RegulationChina Further Opens Banking, Insurance Sectors to Foreign FIs
Effective immediately, foreign financial institutions can establish wholly-owned banks in China, which can be operated alongside foreign bank branches and Sino-foreign joint venture banks.
October 17, 2019 -
361Fintech / Regtech
Japan Brokers Form New Body to Develop Rules for STOs
The new association was formed by securities firms SBI, Nomura, Daiwa, Kabu.com, Monex and Rakuten and will seek FSA approval for status as a self-regulatory organisation.
October 7, 2019 -
499KoreaKorea FSC Offers New Channels for Venture Capital Investment
Securities, asset management and venture capital firms can obtain a license to operate a fund which raises capital from investors to list on the KRX and invests in unlisted companies.
October 1, 2019 -
264Capital RegulationSFC to Push Ahead with New Cap on Margin Financing
From 4 October, margin loans will be capped at five times capital, despite appeals from brokerage firms to postpone the new rules by one year.
September 30, 2019 -
334Hong KongCivil Unrest Forces Brokers to Exit Hong Kong Market
Since the Hong Kong protests began in June, ten brokerage firms have reportedly exited the market amid lower turnover and shrinking commission revenues.
September 24, 2019 -
344ChinaShanghai 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 -
339ChinaChina 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
