Securities / Derivatives

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.

Enforcement

Chinese Regulators Crack Down on Margin Lending Practices

By Editors | 06/05/2025

Several mainland securities firms have been penalised for allowing investors to withdraw cash obtained from margin loans.

Securities / Derivatives

Singapore SIC Proposes Changes to Take-overs and Mergers Code

By Nithya Subramanian | 06/05/2025

The proposed changes will enhance the competitive process of M&A deals while improving disclosures to investors and shareholders.

AML / KYC

Japanese Securities Firms to Compensate Account Hack Victims

By Editors | 06/05/2025

Ten securities firms have agreed to compensate victims of accounts that have been hacked and used in unauthorised stock trading

Crypto / Digital Assets

SC Malaysia Proposes Framework for Tokenised Capital Market Products

By Nithya Subramanian | 06/05/2025

The proposed framework will allow licensed persons and RMOs to offer or deal in tokenised products issued through approved primary market platforms.

Market Infrastructure

SEBI Eases Rules for Stock Brokers to Operate in GIFT City

By Nithya Subramanian | 06/05/2025

Stock brokers will be able to carry out activities in GIFT City through a Separate Business Unit (SBU) without seeking SEBI’s approval.