Securities / Derivatives

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    Enforcement

    HKEX Sanctions Former Orient Securities Director

    By Sanday Chongo Kabange | 14/03/2025

    HKEX said the former director failed to cooperate with an investigation into potential GEM listing rules breaches.

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    Capital / Liquidity

    FSS Korea Urges Securities Firms to Support Innovative Companies

    By Mark Johnston | 14/03/2025

    FSS governor said securities firms must be more faithful to their role in driving innovative growth through the supply of venture capital.

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    Enforcement

    ASIC Takes FIIG Securities to Court Over Cybersecurity Failures

    By Thisanka Siripala | 14/03/2025

    ASIC alleges systemic and prolonged cybersecurity failures led to the compromise of personal information of approximately 18,000 clients.

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    Securities / Derivatives

    Thailand Unveils ESG Tax Incentives to Stimulate Stock Market

    By Nithya Subramanian | 13/03/2025

    The SET will meanwhile start consultations on a new long-term savings and investment scheme modelled after Japan’s NISA.

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    Securities / Derivatives

    IOSCO Publishes New Consultation Report on Artificial Intelligence

    By Thisanka Siripala | 13/03/2025

    The report identifies five key findings following engagement with IOSCO members and stakeholders and invites further feedback.

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    Securities / Derivatives

    Geopolitics Seen as Biggest Driver of Derivatives Market Activity – FIA

    By Thisanka Siripala | 13/03/2025

    FIA President Walt Lukken said economics is taking a back seat to politics in terms of what will drive the derivatives markets.

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    Fintech / Regtech

    IOSCO Proposes Recommendations to Address “Neo-broker” Risks

    By Manesh Samtani | 13/03/2025

    The recommendations aim to protect retail investors by enhancing the transparency, fairness, and integrity of neo-brokers’ operations.

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    Securities / Derivatives

    SGX to Launch Brazilian Real Futures Contracts in Asia

    By Nithya Subramanian | 13/03/2025

    The move will enable global investors in Asia to manage risks with the Brazilian Real during their local time zone.

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    Securities / Derivatives

    SEBI Reduces Timelines for Completing Rights Issue

    By Nithya Subramanian | 13/03/2025

    New framework, effective 7 April, reduces the timeline for completing a rights issue from 126 days to just 23 days.

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    Enforcement

    Korea Identifies Stock Fraud Involving Convertible Bond Issuance

    By Thisanka Siripala | 13/03/2025

    South Korea’s financial watchdog exposes fraud ring behind fake capital raising and market rigging.

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