Securities / Derivatives

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.

Securities / Derivatives

SEBI Constitutes High-Level Panel to Review Conflict of Interest Policies

By Nithya Subramanian | 13/04/2025

The panel will review existing policies governing conflicts of interest, disclosures, and recusals concerning its board members and officials.

AML / KYC

SEBI Adopts New Threshold for Granular Disclosures by FPIs

By Editors | 13/04/2025

The higher threshold reduces the number of FPIs that are subject to granular disclosure requirements, reducing compliance costs for foreign investors.