Securities / Derivatives

    Enforcement

    SFC Imposes Lifetime Ban, HKD 17.4M Fine for Fund Misconduct

    By Sanday Chongo Kabange | 25/03/2026

    A former investment analyst funnelled millions from a fund to a personal company through undisclosed, unsecured loans, prompting a lifetime exclusion.

    Securities / Derivatives

    Taiwan FSC Streamlines Rules for Switching Listing Boards

    By Mark Johnston | 25/03/2026

    The regulator has proposed amendments to create a more flexible, two-way transfer mechanism and exempt companies from certain requirements when raising capital.

    Securities / Derivatives

    Taiwan Eases Bond Issuance Rules to Attract Foreign Firms

    By Mark Johnston | 25/03/2026

    The FSC has revised guidelines for foreign issuers, clarifying eligibility criteria and simplifying procedures to boost Taiwan's bond market.

    Securities / Derivatives

    SEBI Proposes Framework for Gifting Mutual Fund Investments

    By Nithya Subramanian | 25/03/2026

    The regulator aims to boost financial inclusion with a proposal allowing investments via prepaid instruments, subject to strict AML checks.

    Securities / Derivatives

    Korea Exchange to Revise Rules to Combat 'Kimchi Premium' on Gold

    By Sanday Chongo Kabange | 25/03/2026

    The move will allow direct supply from LBMA-accredited refiners to stabilise prices amid extreme volatility and a persistent domestic premium.

    Securities / Derivatives

    FSS Korea Urges ETF Industry to Tighten Controls Amid Growth Risks

    By Mark Johnston | 25/03/2026

    FSS flags concerns over exaggerated advertising, rebalancing shocks, and advance portfolio disclosures amid rapid market growth and new product launches.

    ESG / Sustainability

    Philippines SEC Ready for Court Battle Over PSE Director Term Limits

    By Sanday Chongo Kabange | 25/03/2026

    The SEC is defending its plan to cap broker tenure on the PSE board, a move backed by business groups but opposed by long-serving directors.

    Securities / Derivatives

    IOSCO Assesses Global Funds Industry as 'Stable', Based on 2024 Data

    By Manesh Samtani | 25/03/2026

    Latest IOSCO report finds continued NAV growth in 2024, with relatively stable risk profiles across fund types.

    Securities / Derivatives

    Korea Launches Tax-Break Accounts to Lure Retail Funds from Abroad

    By Sanday Chongo Kabange | 25/03/2026

    New "Return to Domestic Market Accounts" offer major tax incentives but face complex rules and market scepticism.

    Market Infrastructure

    Korea's Two-Tier Kosdaq Plan Sparks Debate on Market Polarisation

    By Sanday Chongo Kabange | 24/03/2026

    Supporters see a path to enhanced visibility for 'star' firms, while sceptics warn of deepening divisions and point to the struggles of a previous premium segment.

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