All posts tagged "Stockbrokers"
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902AML / KYCSEBI Issues Measures to Protect Securities Market Client Records
A new cybersecurity framework has been issued for KYC registration agencies. Stockbrokers, depository participants, registrars and transfer agents are asked to submit their quarterly reports by end-November.
October 18, 2019 -
2.6KAsia-PacificEU Shareholder Rights Directive – It’s Time for APAC Firms to Act
Though a European regulation, SRD II will directly impact Asian intermediaries and hundreds of billions of euros in assets held by APAC investors, says Demi Derem at Broadridge.
August 26, 2019 -
947Asia-PacificBSEC Publishes Draft Rules on Securities Short Selling
The draft rules set out requirements for brokers and dealers in relation to short selling of securities, which is currently prohibited in Bangladesh.
May 7, 2019 -
587India
SEBI Cuts Time for Listing Debt Securities in Half
India’s securities regulator has cut the timeline for listing debt securities from 12 to six days to streamline the issuance process and make it more cost effective.
August 20, 2018 -
Australia & NZ
New ASIC Funding Proposal May Hurt Stockbrokers
The Stockbrokers Association of Australia has warned that proposals to increase industry funding of the corporate regulator may impose greater costs on brokerage firms, prompting more industry rationalisation and stifling innovation.
September 26, 2015
