SECURITIES / DERIVATIVES

    Enforcement

    SEBI to Place MCX on Regulatory Review After Market Outage - Report

    By Mark Johnston | 25/07/2025

    SEBI is reported to be considering action against MCX following a technical glitch that caused a trading halt on Wednesday.

    Securities / Derivatives

    FSC Korea to Introduce Tougher Measures Against Illegal Stock Trading

    By Nithya Subramanian | 25/07/2025

    The FSC proposed shifting from account-based to individual-centred monitoring and doubling fines for unfair trades, effective October.

    Securities / Derivatives

    Vietnam Proposes 20pc Capital Gains Tax on Securities

    By Editors | 25/07/2025

    Draft law would tax actual annual profits from securities trading at 20% and end a controversial 0.1% flat tax on every transaction.

    Securities / Derivatives

    Philippines SEC Eyes Tiered Minimum Public Float System for IPOs

    By Nithya Subramanian | 25/07/2025

    A tiered model would be more transparent than blanket exemptions, balancing market liquidity with a more flexible IPO framework.

    Enforcement

    US PCAOB Revokes Hong Kong Audit Firm's Registration

    By Manesh Samtani | 24/07/2025

    Centurion ZD CPA & Co. and its owner have been permanently barred after the PCAOB found major violations in the 2021 audit of Luckin Coffee.

    Securities / Derivatives

    Korea FSS Directs ETFs to Cut Crypto Stock Exposure

    By Manesh Samtani | 24/07/2025

    The FSS has told asset managers to limit holdings in firms like Coinbase and MicroStrategy, citing a 2017 policy.

    Securities / Derivatives

    KRX to Monitor Social Media and Online Forums

    By Nithya Subramanian | 24/07/2025

    New market surveillance rules taking effect this month will curb unfair trading based on undisclosed information.

    Securities / Derivatives

    Industry Majors Release Draft Framework for Public Blockchain Risk

    By Manesh Samtani | 24/07/2025

    A coalition including DTCC, Euroclear and major banks has launched a framework to help regulated firms manage non-financial risks on public blockchains.

    Enforcement

    UK Supreme Court Overturns Rate-rigging Convictions of Ex-Traders

    By Nithya Subramanian | 24/07/2025

    Tom Hayes and Carlo Palombo, once jailed for manipulating benchmark interest rates, have had their convictions overturned due to legal errors in their trials.

    Securities / Derivatives

    Indonesia’s OJK Issues Rules on Internal Controls for Securities Firms

    By Nithya Subramanian | 24/07/2025

    The rules outline stricter requirements for underwriters, brokers, and regional securities firms, focusing on due diligence and IT governance.

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