Conduct, Culture & Accountability

Australian Court Penalises Two Firms for Consumer Credit Law Breaches

16/12/2025

A lender and introducer were penalised for engaging in unlicensed credit activity, failing to verify loan purposes, and denying consumers key protections.

Fraud, Scams & Cybercrime

JPX Announces New Measures to Combat Accounting Fraud in IPOs

15/12/2025

New measures include enhanced scrutiny of high-risk business models, interviews with former auditors, and stricter reviews of whistleblowing systems.

Structural Regulation

Australia Proposes to Enhance Rules for Professional Indemnity Insurance

15/12/2025

The Treasury is consulting on strengthening professional indemnity insurance to reduce reliance on the industry-funded CSLR.

Anti-Money Laundering

New Zealand's ASB Admits AML Breaches, Agrees to NZD 6.73m Penalty

15/12/2025

The CBA-owned lender admitted to serious compliance failures after the RBNZ filed court proceedings over breaches dating back to 2019.

Structural Regulation

ASIC Mandates Major ASX Overhaul, Imposes Capital Charge

15/12/2025

ASIC imposes A$150m capital charge and forces board reforms after inquiry finds ASX prioritised profits over infrastructure stability.

KYC & CDD

Australia Proposes Overhaul of Business Registers, Director ID Rules

15/12/2025

The proposed laws will link director IDs to company records, give ASIC new disqualification powers, and unwind a costly modernisation programme.

Structural Regulation

FIA Seeks Refinements to Hong Kong Investor ID Plan for Derivatives

15/12/2025

The FIA has backed the plan in principle but is calling for significant operational adjustments to reduce complexity and align with market practices.

Custody & Infrastructure

Vietnam Forms New Board to Oversee Digital Asset Market

13/12/2025

The new body under the securities regulator is tasked with developing a legal framework and policies for the digital assets sector.

Trading & Investment

Taiwan Amends 'Leap-Forward' Plan to Bolster Asset Management Sector

12/12/2025

The FSC has relaxed rules on overseas delegation and expanded offshore sales definitions to boost Taiwan's asset management hub ambitions.