All posts tagged "Securities"
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157IndiaSEBI Finalises Amendments to Investment Adviser Rules
The final rules increase the net worth, qualification and experience requirements for investment advisers and introduce client-level segregation of advice and distribution activities.
July 8, 2020 -
354ChinaChina May Grant Securities Licences to Major Banks – Report
At least two major banks are expected to be allowed to conduct investment banking business intially, rather than the full range of securities services.
June 30, 2020 -
354InternationalIOSCO Offers Guidance to Promote Deference Between Regulators
IOSCO offers 11 good practices to help regulators establish and operate efficient deference processes, and mitigate the risk of market fragmentation.
June 28, 2020 -
341ChinaCSRC to Further Promote Shanghai as International Financial Centre
The pace of opening up China's capital market has further accelerated, in spite of the Covid-19 pandemic, CSRC chairman Yi Huiman said at the 12th Lujiazui Forum in Shanghai on Thursday.
June 22, 2020 -
388EnforcementSFC Publicly Criticises CICC Units for Breaching Takeovers Code
CICC and CICC Financial Trading - as associates of the CICC securities unit advising on certain offers - dealt in the relevant securities without making timely disclosures.
June 19, 2020 -
314ChinaCSRC Approves Full JP Morgan Control of Futures Joint Venture
JP Morgan will boost its stake in the joint venture from 49% to 100%, making it the first fully foreign-owned futures business in China.
June 19, 2020 -
449EnforcementMalaysia: Former Trust Consultant Jailed for Securities Fraud
The former consultant promised investors guaranteed returns but used the monies they paid for share trading in her personal account.
June 13, 2020 -
846Fintech / RegtechTaiwan Fintechs to Gain Access to Canada’s Securities Sandbox
The CSA sandbox allows firms to obtain exemptive relief from securities law requirements to test new products and services in the Canadian market on a time-limited basis.
June 12, 2020 -
319India
SEBI Relaxes Norms to Fast-track Further Public Offers
FPOs will still be allowed to proceed if show cause notices or prosecution proceedings are still ongoing, or it securities law violations have been recently settled.
June 11, 2020 -
399ChinaCredit Suisse Takes Control of China Securities JV
The CSRC granted Credit Suisse approval to raise its shareholding in the joint venture in April, from 33.3% to 51%.
June 2, 2020
