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Securities / Derivatives
Enforcement
Thai SEC Suspends KGI Securities and Execs Over IPO Due Diligence Lapses
By Mark Johnston | 25/05/2025
The SEC order suspends KGI’s approval to act as a financial advisor and suspends two individuals from acting as operations controllers for one year.
Fintech / Regtech
JSDA Proposes Revisions to Equity Crowdfunding Rules
By Thisanka Siripala | 25/05/2025
Under the proposed rule, telephone and in-person solicitation will be permitted for corporate investors, while remaining prohibited for individuals.
Securities / Derivatives
Malaysia Courts Family Offices with Tax Breaks to Boost Capital Market
By Editors | 24/05/2025
SC official promotes incentives, including zero-tax rate and visa schemes, to attract single family offices to Forest City.
Enforcement
SESC Conducts Insider Trading Probe into IR Japan Employee
By Thisanka Siripala | 24/05/2025
An employee allegedly leaked undisclosed IR data from client companies to an acquaintance who repeatedly traded shares using the information.
Securities / Derivatives
Bursa Malaysia Launches New Scheme to Attract Retail Investors
By Nithya Subramanian | 23/05/2025
The Shares2U initiative allows brokers to reward investors with shares if they complete specific actions like opening a CDS account.
Securities / Derivatives
KRX Bolsters ‘Value-Up’ Support for KOSDAQ Firms
By Mark Johnston | 23/05/2025
KRX will publish a best-practice guide and expand its consulting initiative to help more KOSDAQ firms enhance shareholder value.
Capital / Liquidity
MAS Proposes to Revise Margin Limits for Capital Markets Firms
By Nithya Subramanian | 23/05/2025
The MAS has proposed raising the cap on margin exposures that CMSL holders can extend to their clients.
AML / KYC
US State Officials Call on SEC to Probe Listed Chinese Firms
By Thisanka Siripala | 23/05/2025
The state officials expressed concern over “opaque” reporting, security risks, and auditing as grounds for SEC action.
Market Infrastructure
Australia’s NSX to Be Acquired by Canadian Exchange
By Thisanka Siripala | 23/05/2025
NSXA will retain local leadership while gaining capital and technological backing from the Canadian Securities Exchange.
Securities / Derivatives
LME Approves More HK Warehouses as City Seeks Commodity Trading Boost
By Manesh Samtani | 22/05/2025
LME approves three new warehouses in Hong Kong as city aims to become a key commodity hub with tax incentives.
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