Securities / Derivatives

AML / KYC

SFC Imposes Six Month Ban on Former Executive of CSC Futures

By Sanday Chongo Kabange | 23/04/2025

The SFC said the former senior manager failed to discharge his duties as a responsible officer, resulting in AML/CFT failures by CSC Futures.

Capital / Liquidity

Japan FSA Raises Alarm Over Hidden Losses in Structured Loans

By Thisanka Siripala | 22/04/2025

Structured loans which bundle JGBs with derivatives have allowed regional banks to avoid marking-to-market or publicly disclosing losses as interest rates have risen.

Securities / Derivatives

SHFE Inks Derivatives Cooperation MoU With Gulf Exchange

By Mark Johnston | 22/04/2025

The collaboration covers product innovation, exchange of market development insights, research support and investor education.

Enforcement

FSS Korea Penalises Shinhan Asset Trust Execs Over Personal Trades

By Editors | 21/04/2025

13 executives and employees traded stocks in accounts that were hidden from their employer. Current and former employees are also suspected of accepting bribes.

Securities / Derivatives

JSDA to Make Multi-Factor Authentication Mandatory for Members

By Editors | 21/04/2025

Customers of six brokerage firms had their accounts hacked, resulting in almost JPY 100 billion worth of unauthorised trades.

Securities / Derivatives

Taiwan FSC Again Extends Stock Market Stabilisation Measures

By Editors | 21/04/2025

The FSC said it was extending the three stabilisation measures implemented on 6 April for a second time, but this time without specifying the duration of the extension.

Securities / Derivatives

KRX to Help Thailand Upgrade Clearing & Settlement Infrastructure

By Editors | 21/04/2025

Korea Exchange signed a contract to supply the Stock Exchange of Thailand with a next-generation clearing and settlement system.

Securities / Derivatives

TPEx and ICE Have Launched Three Co-branded Indices

By Editors | 21/04/2025

Investment trust companies are allowed to issue ETF products based on these indices, including passive multi-asset ETFs, which are new to Taiwan’s market.

Securities / Derivatives

Hong Kong to Start Implementing Paperless Securities Market in 2026

By Editors | 21/04/2025

Legislative processes for the implementation of the USM initiative have been completed. All issuers will transition to paperless securities by 2031.