All posts tagged "Stockbrokers"
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509IndiaSEBI Proposes Market Maker Framework for Corporate Bonds
To act as market makers, stockbrokers and merchant banks would need INR 100 million in additional net worth over-and-above their existing obligations.
November 21, 2021 -
167India
SEBI to Stop Use of Pool Accounts for Mutual Fund Transactions
From 1 April 2022, investor money should be directly credited to the bank account of the mutual fund scheme when an investor purchases units.
October 11, 2021 -
287Asia-PacificSri Lanka Passes New SEC Act to Bolster Capital Market
SEC chairman Viraj Dayaratna described the new law as “futuristic”, saying it will help to increase market liquidity and attract foreign investment.
September 9, 2021 -
582FeatureHKEX 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 -
261Australia & 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 -
220India
SEBI 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 -
370Asia-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 -
411Hong 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 -
446Australia & 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 -
1.1KAsia-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
