ESG / Sustainability

ASIC Sues Fund Manager Fiducian Over ESG Governance Failures

06/10/2025

ASIC alleges that Fiducian Investment Management Services failed to validate its ESG claims and ignored investor complaints for years.

RBI Recognises First Self-Regulatory Organisation for NBFC Sector

03/10/2025

The RBI has approved the Finance Industry Development Council as the first self-regulatory organisation for the NBFC sector under its new omnibus framework.

Capital / Liquidity

Malaysia and WIPO to Pilot IP-Backed Financing for SMEs

01/10/2025

The partnership aims to unlock new funding avenues by enabling Malaysian firms to use intellectual property such as patents and trademarks as collateral.

New Zealand FMA Issues New Guidance on Complaints Handling

01/10/2025

The FMA has put financial firms on notice, outlining expectations for fair and transparent complaints processes following research showing significant consumer barriers.

Securities / Derivatives

KRX to Open New Fractional Investment Market in October

01/10/2025

KRX will open a new market for securities backed by assets like art and music copyrights under a new regulatory framework.

Capital / Liquidity

Thailand Finalises Plan for Bank-Run AMCs to Tackle Bad Debt

01/10/2025

The MOF has completed preparations for banks to establish asset management companies to manage NPLs, awaiting final government approval.

Securities / Derivatives

HKEX Proposes Major Overhaul of Structured Products Listing Rules

01/10/2025

HKEX is consulting on plans to significantly raise capital and rating requirements for issuers while streamlining listing processes to boost competitiveness.

AML / KYC

New Zealand Mandates Stricter Due Diligence Rules for Partnerships

01/10/2025

New regulatory guidance requires financial institutions to obtain and verify detailed information on the ownership, control, and legal structure of partnership clients.

Enforcement

ASIC Flags Deficiencies in Super Fund Audits and Asset Valuations

30/09/2025

An ASIC review has found auditors are not sufficiently challenging valuations of unlisted assets, prompting calls for a significant uplift in reporting and audit quality.