Securities / Derivatives

    ESG / Sustainability

    Taiwan Updates Rules for Asset Manager Staff Holding Overseas Posts

    By Sanday Chongo Kabange | 31/12/2025

    The FSC clarified permissible concurrent roles at group entities and imposed new internal control, reporting, and record-keeping requirements.

    Securities / Derivatives

    KRX Expands Corporate Governance Reporting Requirements

    By Mark Johnston | 31/12/2025

    The regulator will inspect shareholder meeting notices and dividend policies as mandatory disclosure requirements extend to all KOSPI-listed companies.

    Enforcement

    Vietnam Sets New Penalties for Gold, FX, and Banking Violations

    By Sanday Chongo Kabange | 31/12/2025

    New decree introduces a tiered penalty system for violations in gold, foreign currency, corporate bonds, and deposit-taking, effective February 2026.

    ESG / Sustainability

    Korea to Expand Stewardship Code, Mandate Compliance Checks

    By Mark Johnston | 31/12/2025

    Regulators will introduce phased-in compliance reviews and centralise disclosure to bolster institutional investors' fulfilment of their fiduciary duties.

    Securities / Derivatives

    IFSCA Clarifies Liquid Net Worth Rules for Capital Markets Firms

    By Editors | 31/12/2025

    New circular clarifies that broker-dealers and clearing members can include certain deposits and trading margins in their capital calculations.

    Securities / Derivatives

    KRX to Tighten KOSDAQ Delisting Rules, Refine Tech IPO Process

    By Editors | 31/12/2025

    The move will see a faster exit process for failing firms and new oversight for tech-exempt listings to bolster investor trust.

    Securities / Derivatives

    KRX to Exclude Top 100 Stocks from Future 'Investment Warning' Label

    By Mark Johnston | 30/12/2025

    KRX has revised market surveillance rules to exclude top 100 large-cap stocks from investment warning designations effective 29 December.


    Enforcement

    FSS Korea Fines Major Lenders for Procedural Breaches in High-Risk Product Sales

    By Mark Johnston | 30/12/2025

    The FSS sanctioned KB Kookmin, Hana and Shinhan banks for failing to record contracts or verify investor understanding.

    Securities / Derivatives

    Taiwan Amends Rules to Attract Foreign Asset Management Talent

    By Sanday Chongo Kabange | 30/12/2025

    The FSC adds asset management, including family offices, to its Employment Gold Card programme to support its ambition to become a regional hub.

    Securities / Derivatives

    Korea Exchange Revamps ESG Portal, Adds English Service for Investors

    By Editors | 30/12/2025

    The move aims to improve information access for foreign investors as mandatory corporate governance reporting expands to all KOSPI firms.

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