ADVERTISEMENT
SECURITIES / DERIVATIVES
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.
Securities / Derivatives
Korea to Allow Direct Fund Sales by Foreign Asset Managers
By Editors | 06/05/2025
South Korea will allow foreign asset managers to establish local subsidiaries to directly market affiliated funds to domestic institutional investors
Securities / Derivatives
Thai SEC Redefines Private Funds as Institutional Investors
By Nithya Subramanian | 06/05/2025
Private funds are recognised as institutional investors without a requirement to “look through” to the qualifications of the underlying investors.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team