Securities / Derivatives

    Enforcement

    SEBI Bans Finfluencer for Providing Advisory Services without Registration

    By Nithya Subramanian | 09/12/2025

    SEBI’s interim order alleges that a so-called trading academy operated by a finfluencer offered unregistered trading advice to thousands of retail investors.

    Securities / Derivatives

    CSRC Chief Wu Qing Unveils Sweeping Capital Market Reform Agenda

    By Mark Johnston | 08/12/2025

    The plan prioritises support for tech innovation, attracting long-term capital, and expanding high-level institutional opening-up, says CSRC Chairman.

    Crypto / Digital Assets

    China Declares RWA Tokenisation 'Illegal Financial Activity'

    By Mark Johnston | 08/12/2025

    A joint warning from seven industry bodies clarifies the legal status of RWA and extends liability to domestic staff of overseas firms.

    Securities / Derivatives

    FSS Korea Requires Due Diligence on Overseas Property Funds

    By Mark Johnston | 08/12/2025

    The FSS has introduced a focused review system and mandatory due diligence reporting to strengthen oversight of overseas real estate funds.

    Securities / Derivatives

    KOFIA Urges Asset Managers to Tighten Up Advertising Practices

    By Mark Johnston | 08/12/2025

    The association has urged stricter internal reviews on promotional materials as regulators launch inspections into overseas investment marketing practices.

    Securities / Derivatives

    SEC Philippines Proposes Tiered IPO Float Rules to Attract Large Listings

    By Sanday Chongo Kabange | 08/12/2025

    The SEC has released draft rules that lower the minimum public ownership requirement for larger companies that launch IPOs.

    Securities / Derivatives

    FSS Korea Orders Fuller Dividend Policy Reporting

    By Mark Johnston | 08/12/2025

    The FSS has updated annual report requirements to compel listed companies to provide specific details on dividend policies.

    Securities / Derivatives

    Thai Regulators Unite to Combat Illicit Funds, Tighten Gold and Crypto Rules

    By Manesh Samtani | 08/12/2025

    A coordinated crackdown will impose new reporting on gold traders, stricter KYC/CDD, and amend FX rules to curb illicit financial flows.

    Securities / Derivatives

    Taiwan FSC Relaxes Restrictions on ETF Feeder Funds

    By Mark Johnston | 08/12/2025

    The FSC will allow feeder funds to track active ETFs and products beyond domestic securities to boost participation.

    Enforcement

    FSS Korea Probes Overseas Investment Practices of Securities Firms

    By Mark Johnston | 08/12/2025

    The FSS is inspecting fees, marketing, and FX practices amid industry unease over being scapegoated for currency depreciation.

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