ESG / Sustainability

ASIC Updates Guidance on Communicating Audit Findings to Boards

21/10/2025

ASIC will inform directors when audit reviews begin and has expanded its oversight to include superannuation fund audits.

Enforcement

Hong Kong SFC Fines UBS HK$8m for Investor Classification Failures

21/10/2025

The penalty relates to a 12-year systems failure that led to securities lending and the sale of complex products to ineligible clients.

Securities / Derivatives

NZX Mandates Stricter Business Continuity, Governance Rules

20/10/2025

NZX has finalised new operational resilience rules for participants and will mandate stricter director independence disclosures from 2026.

Market Infrastructure

Australia Unveils Regulatory Roadmap with New Coordination Mandate

20/10/2025

The Australian government has released a two-year financial reform plan, introducing new principles to improve the rollout of major regulations.

ESG / Sustainability

Taiwan Eases ESG Reporting Rules for Small Futures Firms

17/10/2025

TAIFEX has amended its rules to provide a simplified reporting option for smaller firms while expanding GHG disclosure for larger players.

AML / KYC

HK & Mainland Police Arrest Three for Face Spoofing and Money Laundering

17/10/2025

The three members of a cross-border syndicate allegedly used pre-recorded videos to bypass facial recognition systems at digital banks.

ASX to Overhaul Governance Body After Principles Stalemate

17/10/2025

ASX says it will take direct responsibility for corporate governance principles, replacing a 19-member council with a smaller expert advisory group.

Securities / Derivatives

ISDA Urges Japan to Address Inefficiencies in Derivatives Market

17/10/2025

A new report from ISDA highlights that removing barriers like low automation and uneven liquidity is key to Japan's global asset management goals.

Enforcement

Hong Kong AFRC Fines PwC, Two Auditors Over Deficient Audits

16/10/2025

The AFRC says the sanctions relate to multiple, pervasive audit deficiencies in the 2010 and 2011 audits of Hong Kong-listed Dynasty Fine Wines Group Limited.