Securities / Derivatives

Securities / Derivatives

Philippines SEC Eases Securities Rules on Shelf Registration

By Sanday Chongo Kabange | 25/09/2025

The SEC has extended the validity of shelf registrations from three to five years and streamlined filing requirements to boost capital market activity.

Securities / Derivatives

KRX Refines Disciplinary Rules for Short-Selling Violations

By Mark Johnston | 25/09/2025

Korea Exchange is revising disciplinary standards for illegal short-selling following a surge in detected cases via a new electronic surveillance system.

Securities / Derivatives

India’s PFRDA Considers Widening Investment Options for Private Funds

By Nithya Subramanian | 25/09/2025

The PFRDA is weighing new investment avenues including gold ETFs, venture capital and private credit as it seeks to improve returns and boost returns for investors.

Securities / Derivatives

India to Simplify Market Entry Rules for Foreign Investors - Reports

By Nithya Subramanian | 25/09/2025

Regulators are working on reforms to streamline documentation and KYC norms and cut foreign investor registration time to as little as 30 days in a bid to revive overseas inflows.

Securities / Derivatives

Korea Sets New Rules for Firms Resuming US Stock Daytime Trading

By Manesh Samtani | 25/09/2025

Financial regulators have imposed stricter operational and investor protection measures on securities firms following a major system failure that halted the service last year.

Securities / Derivatives

Taiwan Proposes to Align Margin Trading Rules for Listed and OTC Stocks

By Sanday Chongo Kabange | 25/09/2025

The FSC aims to remove criteria on company age, capital, and profitability for OTC-listed stocks to level the playing field and boost market liquidity.

Securities / Derivatives

BIS Study Calls for "Nuanced" Approach to HFT Regulation

By Manesh Samtani | 24/09/2025

BIS working paper finds high-frequency trading has a dual impact, increasing risk for some stocks while improving liquidity for others.

Enforcement

RBA Downgrades Key ASX Ratings Over Repeated Risk Failures

By Sanday Chongo Kabange | 24/09/2025

The RBA has found serious deficiencies in ASX’s governance and risk management, downgrading key ratings following major operational incidents.

Securities / Derivatives

Taiwan FSC Proposes Easing Cross-Selling Rules for Financial Groups

By Sanday Chongo Kabange | 24/09/2025

Draft amendment would allow subsidiaries of financial groups to cross-sell services for securities introducing brokers.