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Securities / Derivatives
AML / KYC
Taiwan Implements Stricter Rules on Structured Product Sales
By Manesh Samtani | 14/05/2025
The new rules are intended to address mis-selling and protect vulnerable investors from unsuitable financial products
Securities / Derivatives
NSE Gets SEBI Nod to Launch Electricity Derivatives: Report
By Nithya Subramanian | 14/05/2025
NSE has received an in-principle approval but the terms of the contract are still being discussed.
Fintech / Regtech
SET, Nasdaq Expand Partnership to Modernise Capital Market
By Editors | 14/05/2025
SET said the expanded partnership is aimed at enhancing system-wide efficiency, transparency, and risk management.
Securities / Derivatives
SEBI to Allow IAs, RAs to Use Fund Units to Meet Deposit Requirements
By Nithya Subramanian | 14/05/2025
Allowing investment advisers and research analysts to use liquid mutual fund units is intended to provide flexibility and ease operational challenges.
Securities / Derivatives
TAIFEX Designates Financial Futures Exempt From After-Hours Liquidation
By Editors | 13/05/2025
TAIFEX reminded futures commission merchants to maintain adequate risk controls for futures traders’ margins and open positions
Securities / Derivatives
China to Boost Financial Connectivity for Guangzhou’s Nansha District
By Manesh Samtani | 13/05/2025
Regulators announced a 30-point plan to boost financial ties between Nansha, Hong Kong, and Macao and foster Greater Bay Area growth.
Enforcement
SFC Fines Sino-Rich Securities, Suspends Exec Over Margin Lending Failures
By Editors | 13/05/2025
The SFC said Sino-Rich Securities had inadequate documentation and enforcement of margin lending policies.
Securities / Derivatives
Thai SEC Proposes to Allow Securities Firms to Offer Investment Tokens
By Manesh Samtani | 13/05/2025
The SEC is considering exempting securities firms from certain digital asset business license requirements to enable them to offer investment tokens.
Securities / Derivatives
CSRC Unveils Measures to Enhance Accountability in Public Funds Sector
By Mark Johnston | 12/05/2025
The measures include an overhaul of fee structures to ensure salaries and incentives of fund managers better reflect performance outcomes.
Market Infrastructure
DFM and TWSE to Boost Cross-Border Capital Market Cooperation
By Nithya Subramanian | 12/05/2025
DFM and TWSE will explore opportunities to list financial products on each other’s markets, including ETFs and related equity products.
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