Securities / Derivatives

Enforcement

FSC Taiwan Fines SinoPac Securities Over Staff Misconduct

By Nithya Subramanian | 14/04/2025

A SinoPac Securities employee borrowed money from clients, misused client funds, and engaged in deceptive practices.

Market Infrastructure

SEBI Standardises System Audit Reports for MIIs

By Nithya Subramanian | 14/04/2025

The new reporting structure aims to enhance audit consistency, improve regulatory oversight, and streamline compliance monitoring across MIIs.

Securities / Derivatives

Philippine Regulators Urge Energy Firms to Tap Capital Market

By Sanday Chongo Kabange | 14/04/2025

The SEC has simplified its registration requirements to make it easy for power generation and distribution companies to publicly issue securities.

Securities / Derivatives

SEBI Constitutes High-Level Panel to Review Conflict of Interest Policies

By Nithya Subramanian | 13/04/2025

The panel will review existing policies governing conflicts of interest, disclosures, and recusals concerning its board members and officials.

AML / KYC

SEBI Adopts New Threshold for Granular Disclosures by FPIs

By Editors | 13/04/2025

The higher threshold reduces the number of FPIs that are subject to granular disclosure requirements, reducing compliance costs for foreign investors.

Securities / Derivatives

FSC Korea in Bid to Boost Corporate Financing by Securities Firms

By Thisanka Siripala | 11/04/2025

Under the new rules, securities firms must allocate 25% of funds raised via commercial paper and IMAs to venture capital.

Securities / Derivatives

Korea to Phase in XBRL Disclosure Requirements for SMEs

By Thisanka Siripala | 11/04/2025

The FSS announced it will allow implementation in phases for companies with assets under KRW 500 billion.

Securities / Derivatives

China: Stock Exchanges Finalise Rules on Programmatic Trading

By Manesh Samtani | 11/04/2025

The new rules will come into effect on 7 July, imposing reporting and risk control requirements on market participants and securities firms.

ESG / Sustainability

Korea FSS Calls Out Poor Stewardship Practices by Fund Managers

By Thisanka Siripala | 11/04/2025

South Korea’s FSS warned about superficial voting, fund pricing errors and pledged to name and shame underperforming firms.