Securities / Derivatives

Securities / Derivatives

SFC Suspends Ex-Broker for Misconduct Linked to Ramp-and-Dump Probe

By Sanday Chongo Kabange | 29/10/2025

The SFC has penalised a former Shanxi Securities representative for using a client’s password to place 945 trades.

Securities / Derivatives

Korea Moves to Permanently Ease Foreign Omnibus Account Rules

By Sanday Chongo Kabange | 29/10/2025

The FSC says the proposal aims to formalise a regulatory sandbox exemption to improve market access and attract more overseas investment.

Securities / Derivatives

HKMA Updates Guidance on Staff Registration and Vetting

By Sanday Chongo Kabange | 29/10/2025

The HKMA has consolidated existing rules, emphasising due diligence, reference checks, and the personal liability of senior managers.

Securities / Derivatives

Shanghai STAR Market Gets First Listings Under New 'Growth' Tier

By Editors | 29/10/2025

The move is part of a wider capital market reform to support ‘hard-tech’ innovation and strengthen regulatory supervision.

Enforcement

Australia Raids WiseTech Over Founder's 'Blackout Period' Share Trading

By Sanday Chongo Kabange | 29/10/2025

ASIC and the AFP searched WiseTech Global’s Sydney office over alleged share trading by founder Richard White.

Securities / Derivatives

Bangladesh's CSE Inks Deal With China's CFFEX to Develop Derivatives Market

By Editors | 29/10/2025

The Chittagong Stock Exchange and China Financial Futures Exchange will cooperate on market development, knowledge sharing, and promoting derivatives products.

Securities / Derivatives

Thailand Proposes Major Overhaul of Provident Fund Rules

By Editors | 29/10/2025

The proposed rules aim to increase asset manager responsibilities for member care, investment advice, and operational transparency for retirement funds.

Securities / Derivatives

PBOC to Resume Bond Trading, Reaffirms Loose Policy

By Manesh Samtani | 29/10/2025

The move to resume bond trading ends a nearly year-long pause aimed at curbing market risks, while the bank also vows to promote yuan internationalisation.

ESG / Sustainability

UK to Bring Global ESG Ratings Providers Under FCA Remit

By Manesh Samtani | 29/10/2025

The move will require overseas firms serving UK clients to be authorised, with new rules focusing on transparency and governance.