Securities / Derivatives

Market Infrastructure

RBI Allows SEBI-registered Non-bank Brokers Access to NDS-OM

By Nithya Subramanian | 12/02/2025

Non-bank brokers can directly access NDS-OM on behalf of clients. This is expected to enhance retail trading of G-Secs.

Enforcement

FSC Korea Revises Regulations for Credit Rating Agencies

By Nithya Subramanian | 12/02/2025

Explicit penalties introduced for corporate credit rating agencies found engaging in fraudulent evaluations or coercing specific rating outcomes

Enforcement

HSBC Acquitted of Violating South Korea’s Short-Selling Rules

By Thisanka Siripala | 12/02/2025

The court said there was no evidence to support the idea that HSBC and its traders knowingly violated South Korea’s Capital Markets Act

Securities / Derivatives

US States Accuse Asset Managers of Downplaying China Risks

By Thisanka Siripala | 11/02/2025

While multiple firms are being targeted, much of the scrutiny is directed at BlackRock, the world’s largest asset manager.

Capital / Liquidity

HK Banks Execute First Repo Trades Using Mainland Bonds as Collateral

By Manesh Samtani | 11/02/2025

HSBC, BOCHK, StanChart and Hang Seng were among the first banks to execute offshore yuan repo transactions on Monday.

Fintech / Regtech

Korea Enhances DART Platform to Accommodate Foreign Investors

By Mark Johnston | 11/02/2025

The FSS expects the expanded scope of English disclosure information on the DART platform to help resolve the Korea discount

Enforcement

Korea’s FSS Issues Advisory on Misleading ETF Advertisements

By Nithya Subramanian | 11/02/2025

An FSS review of 252 ETF advertisements found exaggerated claims, inappropriate wording and omission of key information.

Enforcement

CSRC Revokes Licences of Futures Firm Over “Illegal Activities”

By Editors | 11/02/2025

The CSRC said Hehe Futures failed to effectively manage its subsidiaries and to perform its reporting obligations.

Securities / Derivatives

Tokyo Police Arrest Former Nomura Employee on Fraud Charges

By Thisanka Siripala | 11/02/2025

The former employee offered a false investment story to an elderly customer and defrauded her of JPY 10 million