Securities / Derivatives

Securities / Derivatives

Thai SEC Proposes Amendments to Enhance Supervisory Effectiveness

By Editors | 15/04/2025

The amendments would strengthen regulation of crowdfunding platforms and private placements, and increase penalties for various types of violations.

Enforcement

ASIC Sues Wiluna Mining Over 2022 Disclosure Breaches

By Sanday Chongo Kabange | 15/04/2025

Wiluna Mining announced in June 2022 that it had raised A$57.3mn when only A$50.3mn of funds were actually received.

Enforcement

Korea Approves Reform Allowing Account Freeze for Market Abuse

By Manesh Samtani | 15/04/2025

Those engaged in unfair trading or illegal short selling can have their accounts frozen and be banned from trading for five years.

Securities / Derivatives

Taiwan FSC Extends Stock Market Stabilisation Measures

By Editors | 15/04/2025

The three measures aimed at curbing short-selling were meant to last from 7-11 April but have been extended another week.

Securities / Derivatives

SET Unveils New Supervisory Measures as Temporary Trading Curbs Expire

By Nithya Subramanian | 15/04/2025

The SET will allow short selling and HFT only on SET100 stocks in a bid to curb volatility and maintain market stability.

Market Infrastructure

Indonesia Stock Exchange Tightens Circuit Breaker Mechanism

By Manesh Samtani | 14/04/2025

IDX also tightened its auto-rejection rule for share transactions so that sell orders are automatically rejected if a stock falls by 15%.

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.