Securities / Derivatives

Enforcement

Vietnam Sets New Penalties for Gold, FX, and Banking Violations

By Sanday Chongo Kabange | 31/12/2025

New decree introduces a tiered penalty system for violations in gold, foreign currency, corporate bonds, and deposit-taking, effective February 2026.

ESG / Sustainability

Korea to Expand Stewardship Code, Mandate Compliance Checks

By Mark Johnston | 31/12/2025

Regulators will introduce phased-in compliance reviews and centralise disclosure to bolster institutional investors' fulfilment of their fiduciary duties.

Securities / Derivatives

IFSCA Clarifies Liquid Net Worth Rules for Capital Markets Firms

By Editors | 31/12/2025

New circular clarifies that broker-dealers and clearing members can include certain deposits and trading margins in their capital calculations.

Securities / Derivatives

KRX to Tighten KOSDAQ Delisting Rules, Refine Tech IPO Process

By Editors | 31/12/2025

The move will see a faster exit process for failing firms and new oversight for tech-exempt listings to bolster investor trust.

Securities / Derivatives

KRX to Exclude Top 100 Stocks from Future 'Investment Warning' Label

By Mark Johnston | 30/12/2025

KRX has revised market surveillance rules to exclude top 100 large-cap stocks from investment warning designations effective 29 December.

Enforcement

FSS Korea Fines Major Lenders for Procedural Breaches in High-Risk Product Sales

By Mark Johnston | 30/12/2025

The FSS sanctioned KB Kookmin, Hana and Shinhan banks for failing to record contracts or verify investor understanding.

Securities / Derivatives

Taiwan Amends Rules to Attract Foreign Asset Management Talent

By Sanday Chongo Kabange | 30/12/2025

The FSC adds asset management, including family offices, to its Employment Gold Card programme to support its ambition to become a regional hub.

Securities / Derivatives

Korea Exchange Revamps ESG Portal, Adds English Service for Investors

By Editors | 30/12/2025

The move aims to improve information access for foreign investors as mandatory corporate governance reporting expands to all KOSPI firms.

Trending

Enhanced Safeguards for Retail Investors Take Effect in Singapore

By Manesh Samtani | 30/12/2025

New measures mandate pre-transaction checks, audio-recorded call-backs, and introduce the role of a 'Trusted Individual' for vulnerable clients.