Regulation Archives - Page 3 of 45

HK regulator fines Ninety One for unlicensed futures trading

Yet, there was no evidence that suggests it was intentional, said the Securities and Futures Commission.

The new incentives are designed to stop the hemorrhaging of family offices to Singapore.

Rival UBS has agreed to buy the embattled investment bank for more than $3bn.

The CSRC is doing so because of concerns about arbitrage investors.

The American asset manager has received approval to set up a fund management company.

Final standards have been set and will be revealed to market within months.

In a bid to make sure investors are ‘adequately protected and key risks are effectively managed’.

It is only the second asset manager to have both a wholly owned fund management company and a majority-controlled wealth management joint venture.

The adjustments will be implemented in about three months time.

US bourse operator looks into recent market swings for newly-listed Chinese companies.