All posts tagged "Segregation"
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89IndiaSEBI Requires Segregation, Monitoring of Collateral at Client Level
The framework seeks to address previous instances of brokers defaulting and misusing clients' securities and funds.
July 28, 2021 -
201IndiaSEBI 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 -
936India
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 -
1.7KContributed 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 -
654EnforcementDeutsche 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 -
2.0KHong 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 -
872EnforcementCredit 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
