Thailand tightens supervision of intermediaries
Thailand is to toughen up its supervision of financial intermediaries in a bid to prevent the exploitation of clients.
SEC
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Thailand opens to higher yielding products
Thailand’s Securities and Exchange Commission said that it intends to permit the launch of offshore hedge funds and junk bond funds later this year.
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Thailand’s SEC files criminal complaint against adviser PPI
Thailand’s Securities and Exchange Commission said it has filed a criminal complaint against Professional Portfolio International (PPI), a financial planning and wealth management firm with offices across Southeast Asia, and two of its employees for operating a securities business without a licence.
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FCA fines rise sharply in 2014 to over £1.47bn
Britain’s Financial Conduct Authority (FCA) penalised firms a total of £1.47bn ($2.3bn) in 2014, though the number of fines fell pushing the severity of the penalties up sharply, according to the 2015 Global Enforcement Review published by Kinetic Partners.
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SEC revises fund rules to support derivatives
Thailands Securities and Exchange Commission (SEC) has revised rules for a variety of funds to allow investment in derivatives and structured notes.
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hsbc fined for illegally advising us clients
HSBC’s Swiss private bank was fined $12.5m (£8m, 10m) yesterday for offering services to US clients without being properly registered.
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ASEAN cross-border framework launched
The ASEAN collective investment scheme framework (CIS) has been launched, allowing investors in Singapore, Malaysia and Thailand access to cross-border financial products.
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Mekong countries agree on capital market
Thailand and other Mekong region countries have agreed a deal which will pave the way for increased capital market cooperation, with a view to boosting economic growth across the region.
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Thailand offers more channels for mf distribution
Thailand is introducing an additional mutual fund distribution channel and has allowed state-owned non-bank companies to act as agents.
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Barclays accused of fraud and deceit
The New York Attorney General is suing Barclays over the operation of its so-called dark pool electronic trading division, alleging that investors were left exposed to predatory trading practices.
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thai sec japan financial service agency in pact
The Thai capital market regulator has entered into a collaboration with Japan's Financial Service Agency that will strengthen cross-border business opportunities between the two countries and also enable more investment choices for investors.
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asean collective schemes to be sold to thai
The Thai regulator has paved the way for cross-border ASEAN collective investment schemes to be sold to retail investors later this year, with the publication of a set of draft regulations.