Securities / Derivatives

SFC Tasks HKEX with Enhancing Guidance on Internal Controls, Auditor Exits

19/03/2026

The SFC’s annual review of the stock exchange operator found failings in the vetting of company controls and the handling of late auditor resignations.

Capital / Liquidity

Korea FSS Urges Broker-Dealers to Tighten Risk Controls

18/03/2026

The FSS has ordered large securities firms to address risks in real estate PF, overseas assets, and funding amid market volatility.

Fintech / Regtech

ASIC Launches Public Complaints Data Portal for FIs

18/03/2026

The new interactive dashboard allows public comparison of firms’ complaint handling, aiming to boost transparency and flag emerging industry issues.

Capital / Liquidity

ASIC Proposes Tougher Capital Rules for Fund Managers

18/03/2026

ASIC has launched a consultation to increase net tangible asset requirements for responsible entities, citing recent scheme collapses and market changes.

Securities / Derivatives

Asian Regulators Scrutinise Private Credit as Investor Redemption Fears Grow

18/03/2026

The HKMA is assessing bank exposures as wealth managers rush to calm client nerves over the USD 1.8 trillion asset class.

Capital / Liquidity

APRA Warns Small Mutual Banks on Viability Amid Rising Tech Costs

18/03/2026

APRA's Therese McCarthy Hockey highlighted a growing divide in the mutual banking sector, urging smaller players to adapt or risk failure.

Securities / Derivatives

Hong Kong Regulators Update OTC Derivatives Reporting System

18/03/2026

The HKMA and SFC have announced system enhancements for the trade repository, introducing data archiving and revising Sunday maintenance outage hours for firms.

Australia Releases Draft Rules for New AUD 3m Super Tax

18/03/2026

The regulations detail earnings calculations, defined benefit valuation methods, and transitional capital gains relief for funds ahead of the tax's commencement.

Australia Proposes Overhaul of Financial Adviser Education Standards

17/03/2026

The new framework would replace the requirement for a specific approved degree with a more flexible, subject-based model.