SECURITIES / DERIVATIVES

Securities / Derivatives

Thai Mutual Funds to Gain Greater Flexibility to Invest in Foreign Funds

By Editors | 07/05/2025

The SEC is proposing to allow Thai mutual funds to invest in alternative CIS structures such as commodity-based trusts

Enforcement

ICAC Charges Four Audit Staff Over False Accountants’ Reports

By Sanday Chongo Kabange | 07/05/2025

The ICAC said the audit staff defrauded their principal as well as HKEX to secure the listing of a Macao construction firm.

Securities / Derivatives

US Lawmakers Call on SEC to Delist 25 Chinese Companies

By Manesh Samtani | 07/05/2025

The lawmakers claim 25 Chinese companies listed in the US are ultimately harnessed by China for “nefarious state purposes” and should be delisted.

AML / KYC

Philippine Stock Exchange Signs Legal Aid Pact with Bar Association

By Sanday Chongo Kabange | 07/05/2025

Under the agreement, stock market investors can receive free legal assistance to address harms such as those caused by securities fraud.

Securities / Derivatives

JSDA Proposes to Remove Redundant Rules for PTS Operators

By Editors | 07/05/2025

The amendments are in response to new regulations that directly place reporting and publication requirements on operators of Proprietary Trading Systems.

Enforcement

ASIC Imposes Additional Licence Conditions on Macquarie

By Sanday Chongo Kabange | 07/05/2025

ASIC cited failures in Macquarie Bank’s futures dealing business and OTC derivatives trade reporting functions.

Market Infrastructure

Hong Kong Launches Specialist Tech Firm Listing Channel

By Sanday Chongo Kabange | 07/05/2025

Tailored guidance will be provided to specialist technology and biotech companies seeking to list in Hong Kong.

Securities / Derivatives

SEBI Consults on Mandatory Dematerialisation Before IPOs

By Nithya Subramanian | 07/05/2025

Only promoters are currently required to hold shares in dematerialised form prior to an IPO filing. SEBI proposes to expand this requirement to a broader group.

Securities / Derivatives

Japan Launches Registration System for Fund Manager Services

By Editors | 06/05/2025

Firms providing accounting, compliance and legal services to asset management firms can voluntarily register on the new system.