All posts tagged "Stockbrokers"
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402FeatureHKEX to Lessen Profit Requirement Hike for Main Board IPOs
The three-year profit requirement will be raised from HK$50mn to HK$80mn, compared to the HK$125mn or HK$150mn options proposed in November.
May 6, 2021 -
193Australia & NZAustralia Issues Draft Bill on Financial Advice Reforms
The bill will expand the role of ASIC's Financial Services and Credit Panel so that it operates as the single disciplinary body for financial advisers.
April 21, 2021 -
160IndiaSEBI Board Meeting: A Preview of Things to Come
SEBI has relaxed its minimum public offer requirements just days after revealing a number of new initiatives in its annual report.
February 21, 2021 -
243Asia-PacificSri Lanka Issues Good Practices Guidelines for Stockbrokers
The guidelines are mandatory and require immediate implementation. Three months' grace is given for a new cap on investment advisor commissions.
January 27, 2021 -
309Hong KongHong Kong Lawmaker Asks HKEX to Lower Market Data Fees
HKEX’s monthly fees for retail investors are higher than other stock exchanges, which may have implications for stockbrokers that serve retail investors, says a new report.
January 16, 2021 -
392Australia & NZIndustry Body Urges ASIC to Reconsider Reference Checking Model
The Stockbrokers and Financial Advisers Association urges ASIC to look at the central register model used in the US, which treats advisers more fairly.
November 24, 2020 -
959Asia-PacificSri Lanka SEC to Overhaul Capital Market Rules in Stages
"The market has evolved over the past ten years and technology has also raised the bar. There is a need to be in line with the times,” SEC Chairman Viraj Dayaratne told Regulation Asia.
October 13, 2020 -
663AML / KYCStockbrokers’ Association Pushes Back Against AUSTRAC Proposal
AUSTRAC proposed in July to allow brokers to open accounts for new clients with flexibility to complete the customer identification procedure within five days.
September 25, 2020 -
1.3KAsia-PacificSri Lanka SEC Approves Rules to Digitalise Stock Market
Sri Lanka’s SEC has approved rules to enable electronic account opening, trading and settlement at the Colombo Stock Exchange.
June 8, 2020 -
389Australia & NZAustralian Treasury Bans ‘Conflicted’ Commissions Paid on LICs
Fund managers will be barred from paying fees to financial advisers and stockbrokers for selling listed investment companies and trusts.
May 25, 2020
