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  4. Oct. 2012

Capital Markets & IT -lakyara

Financial institutions are under constant pressure to reduce costs, improve operational efficiency, adapt to regulatory changes and grow their business. NRI believes that a combination financial knowledge and information technology are crucial to the industry’s growth and development. Through our lakyara reports, NRI identifies the various capital markets and IT issues impacting our clients and the future of their business.
*Organization names and job titles are current as of the publishing dates
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Oct. 2012

Chinese Capital Markets

Deregulation of China's securities industry is accelerating

Takeshi Jingu

Reform is accelerating in China's securities sector. At an industry conference in May 2012, regulatory authorities unveiled plans to promote diversification of securities firms' operations through deregulation.
They have recently started to announce specific deregulatory measures.

Brokerage Business

Are best execution policies serving customers' best interests?

Mitsuhiro Tsunoda

PTS usage in Japan is projected to grow following a pending revision to the 5% tender-offer bid rule, but many brokerages have best execution policies that route orders to exchanges only. Brokers must revise their best execution policies in response to market changes, customers' needs, and IT systems' maturation.