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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.
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.
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.
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.
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.
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.
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.
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.
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.
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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