All posts tagged "Segregation"
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448Fintech / RegtechFSC Korea Issues New Rules for Fractional Investing Services
The FSC will classify fractional investment products as securities on a case-by-case basis and require issuing firms to adopt investor protection measures.
May 5, 2022 -
395IndiaSEBI Extends Timeline for Brokers to Segregate Client Collateral
The implementation timeline for the new framework on client collateral segregation and monitoring has been extended to 2 May 2022.
March 7, 2022 -
475PhilippinesPhilippine SEC Proposes Draft Rules For Umbrella Funds
Investment companies will be allowed to operate umbrella funds as long as they create at least two sub-funds, which segregated assets and liabilities.
February 22, 2022 -
135IndiaSEBI Requires Segregation, Monitoring of Client Collateral
The framework seeks to address previous instances of brokers defaulting and misusing clients' securities and funds.
July 28, 2021 -
270India
SEBI Consults on Measures to Protect Client Collateral
The proposed framework seeks to protect clients’ collateral from being misused or misappropriated by trading or clearing members.
May 18, 2021 -
1.1KIndia
SEBI 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 -
1.9KContributed ArticleIndependent Amount – 10 Years and No Change Since Lehman Collapse
Counterparties are exposed to material downside risk in posting collateral without restrictions on rehypothecation or non-segregation, says Matthieu Sachot at Chappuis Halder & Co.
September 19, 2018 -
696EnforcementDeutsche Fined, Censured for HK Regulatory Breaches
Securities regulator says fine would have been much higher were it not for self-reporting of breaches, cooperation in inquiry and ‘remedial measures’.
March 15, 2018 -
2.1KHong KongSFC Raises Standards for Client Facilitation Trades
Client facilitation traders must be segregated from agency traders to protect client information and avoid conflicts of interest.
February 17, 2018 -
914EnforcementCredit Suisse Hong Kong Fined $5mn
Regulatory breaches include failures related to segregation of client securities, reporting of transaction, noncompliance with short selling requirements, unsuitability of investment products sold to clients.
February 10, 2018
