All posts tagged "Underwriting"
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143Securities & TradingTaiwan FSC to Relax Rules for Securities Investment Trust Funds
Greater flexibility is provided for securities investment trust funds to invest in IPO stocks, CoCo bonds and TLAC bonds.
October 13, 2021 -
203ChinaCSRC Issues Draft Rules Promoting ‘Honest’ Investment Banking
The draft rules require investment banking intermediaries to strengthen risk control and strictly prohibit the use of below-market pricing to win business.
September 30, 2021 -
127Australia & NZNZ FMA Finds “Poor Value” in Credit Card Repayment Insurance
Underwriters and distributors are directed to ensure their systems, processes and controls facilitate good customer outcomes.
September 24, 2021 -
177Asia-PacificSEC Philippines Creates Office to Facilitate Capital Raising by SMEs
The new office will simplify capital raising, streamline registration processes, and promote SME-friendly underwriting and advisory programmes at FIs.
September 23, 2021 -
250Asia-PacificRegulatory Relief for Thai Banks to Raise Systemic Risk: S&P
The average NPL ratio at Thai banks will likely rise to 6% next year, the highest level since the 2009 GFC, S&P Global Ratings says.
September 23, 2021 -
359Securities & Trading
Taiwan FSC Eases Rules for Overseas Branches of Securities Firms
Securities firms will be allowed to offer foreign currency custody services at overseas branches with a net value of TWD 4 billion, compared to TWD 10 billion previously.
August 22, 2021 -
96AML / KYCThai SEC Proposes UBO Registration Rules for Securities Firms
Securities firms offering trading, exchange or underwriting services will be required to ensure customers register their foreign beneficiaries.
August 8, 2021 -
588InternationalTCFD Scope 3 Review Supports Net-Zero Scrutiny
Comprehensive reporting on all corporate emissions essential for investors, regulators and policymakers working towards low-carbon economy, says GRI.
June 21, 2021 -
197Australia & NZASIC Enhances Capital Rules for Securities, Futures Firms
Securities market participants must hold core capital of at least A$500,000, up from A$100,000 currently required. One year is given for compliance.
June 18, 2021 -
464ChinaCSRC Approves Launch of Daiwa Securities Joint Venture
Daiwa Securities (China) Co will be able to provide brokerage and securities underwriting services. Operations will commence soon.
June 15, 2021
