Securities / Derivatives

    Enforcement

    SFC Fines Tung Tai Securities for Failing to Guard Against Fraud

    By Sanday Chongo Kabange | 17/11/2025

    The penalty follows a USD 3.3 million fraud where staff acted on bogus emails, ignoring multiple red flags and internal control failures.

    Securities / Derivatives

    Asia Funds Grow Cautious on ESG Policy, Citing Regulatory Burden

    By Manesh Samtani | 17/11/2025

    A new report shows Asia-based fund managers are tightening ESG deal screening but are reluctant to change policies unless compelled by regulators.

    Securities / Derivatives

    DMIST Establishes Global Standard for Self-Match Prevention

    By Manesh Samtani | 17/11/2025

    The derivatives standards body has published a framework for exchanges and traders to harmonise self-match prevention tools globally.

    Securities / Derivatives

    Bursa Malaysia Launches Platform for Vetting Research, Online Commentary

    By Mark Johnston | 16/11/2025

    The exchange aims to counter unlicensed online commentary by having licensed advisers review and publish public research submissions.

    Securities / Derivatives

    Korea Delays Decision on Penalties for Mis-Selling ELS Products

    By Mark Johnston | 15/11/2025

    A decision on penalties, potentially in the trillions of won, is pushed back as authorities clarify rules on 'revenue'.

    Securities / Derivatives

    CSRC Pledges Market Stability, Reforms to Deepen Foreign Access

    By Manesh Samtani | 14/11/2025

    Regulators vow to prevent wild market swings and expand institutional opening-up to attract more long-term international capital investment.

    Enforcement

    Korea Boosts Whistleblower Rewards to Tackle Market Abuse

    By Sanday Chongo Kabange | 14/11/2025

    The SFC has signalled intent to increase its budget for rewards after average payouts for market abuse tip-offs more than doubled.

    Crypto / Digital Assets

    Japan Stablecoin Issuers Could Become Major JGB Buyers – Report

    By Sanday Chongo Kabange | 14/11/2025

    The head of a new yen stablecoin issuer says digital asset firms could fill the void left by the BOJ's tapering in the JPY 1,055 trillion bond market.

    Market Infrastructure

    Malaysia’s SC Consults on Reforms to Market Segmentation Framework

    By Nithya Subramanian | 14/11/2025

    The SC proposes higher profit bar for Main Market listings, flexibility for renewable energy listings and new rules to strengthen ACE Market’s role.

    Capital / Liquidity

    Vietnam Introduces Basel II-Style Capital Rules for Securities Firms

    By Mark Johnston | 14/11/2025

    New circular tightens risk governance, hitting firms with concentrated portfolios and non-rated bonds, while clarifying margin lending rules.

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