SECURITIES / DERIVATIVES

Securities / Derivatives

Chinese Exchanges Revise Guidelines to Promote Special Bond Types

By Editors | 07/01/2025

The revisions aim to promote sci-tech innovation bonds, green bonds, rural revitalisation bonds, SME support bonds, and short-term bonds.

Enforcement

HK Court Fines Solicitor for Breaching SFO Secrecy Provision

By Editors | 07/01/2025

This is the first time a Hong Kong practicing solicitor has been convicted for contravening the secrecy provision under the SFO.

ESG / Sustainability

Regulation Asia: Top 10 Contributed Articles for 2024

By Editors | 05/01/2025

This list presents the most-read contributed articles published by Regulation Asia in 2024, based on aggregated user traffic.

Securities / Derivatives

HKIC Selects Four Firms to Manage New CIES Portfolio

By Editors | 05/01/2025

Betatron Venture Group, Inno Angel Fund, MindWorks Capital and Radiant Tech Ventures were appointed to manage the new CIES investment portfolio.

Securities / Derivatives

FDIC Seeking Enhanced Oversight of Blackrock, Vanguard

By Manesh Samtani | 05/01/2025

BlackRock and Vanguard are asked to adopt a “passivity agreements” to ensure they don’t influence business decisions in the banks they invest in.

ESG / Sustainability

Philippine SEC Issues Draft Framework for Green Equity Offerings

By Editors | 05/01/2025

The ‘green equity’ designation signifies that over 50% of both revenue and investments are linked to green activities.

AML / KYC

Taiwan to Loosen Rules Imposed on Overseas Securities Clients

By Editors | 04/01/2025

The FSC will make account opening, order verification and fund deposits more convenient for overseas clients

Securities / Derivatives

SEBI Introduces Framework to Lower Entry Barrier for Passive Funds

By Editors | 04/01/2025

The framework allows PE funds set up in India or overseas to sponsor “MF Lite” entities, subject to certain conditions

Enforcement

PBOC Fines Three FIs for ‘Abnormal’ Bond Trading Behaviour

By Editors | 04/01/2025

Concerns are being raised about the capabilities of small and midsize firms to appropriately manage interest rate risk