Securities / Derivatives

    Enforcement

    Former Investment Manager Pleads Guilty in ASIC Insider Trading Case

    By Sanday Chongo Kabange | 13/08/2025

    The case marks the first outcome for a new ASIC taskforce and was detected by the regulator's real-time surveillance technology.

    Securities / Derivatives

    Taiwan Finalises New Rules for Offshore Securities Unit Client Funds

    By Editors | 13/08/2025

    The amendments allow Offshore Securities Units to use qualified foreign custodians for client funds to boost international competitiveness.

    Securities / Derivatives

    SEBI Proposes New Rules to Boost Resident Indian Role in FPIs

    By Nithya Subramanian | 13/08/2025

    SEBI plans to allow retail schemes in IFSCs with Indian sponsors to register as FPIs, align contribution limits with IFSCA norms, and permit Indian mutual funds to be part of FPIs.

    Enforcement

    HKEX, SFC Censure Former Directors in First Joint Non-Cooperation Case

    By Sanday Chongo Kabange | 13/08/2025

    HKEX and the SFC have publicly censured two former directors of TOMO Holdings for failing to cooperate with investigations by the two regulators.

    Securities / Derivatives

    SEBI Proposes Single-Window Access for Trusted Foreign Investors

    By Nithya Subramanian | 13/08/2025

    The framework eases entry and compliance for low-risk global funds, reduces paperwork, and offers unified investment routes for government-linked and regulated funds.

    Securities / Derivatives

    Financial Giants Execute First Fully On-Chain US Treasury Repo Trade

    By Manesh Samtani | 13/08/2025

    The transaction used tokenised US Treasuries and USDC for atomic settlement, demonstrating the potential for 24/7 capital markets.

    Securities / Derivatives

    SEBI Proposes Lighter-Touch AIFs for Accredited Investors

    By Editors | 12/08/2025

    SEBI has issued proposals for a new fund category with fewer restrictions, signalling a long-term shift in how investor sophistication is measured.

    Securities / Derivatives

    Hong Kong Finalises ISO 20022 Trade Reporting Specifications

    By Sanday Chongo Kabange | 12/08/2025

    Regulators published a revised technical guide for OTC derivatives reporting. Reporting entities must declare system readiness by 12 September.

    Securities / Derivatives

    Australian Court Orders Fintech to Pay Penalty for Disclosure Breaches

    By Editors | 11/08/2025

    iSignthis Ltd and its former CEO were penalised for misleading conduct and failing to disclose material information, ASIC said.

    Securities / Derivatives

    India Imposes Restrictions on Mutual Fund Distributor Fees

    By Manesh Samtani | 11/08/2025

    SEBI scrapped transaction fees while AMFI imposed a 12-month lock-in on commissions to curb mis-selling and protect investors.

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