Securities / Derivatives

Securities / Derivatives

FSB Finalises Toolkit to Curb Non-Bank Leverage Risks

By Manesh Samtani | 10/07/2025

The FSB has issued new recommendations for authorities to monitor and control leverage in the growing non-bank sector.

Enforcement

Korea to Launch AI-Powered ‘One-Strike-Out’ System for Unfair Trading

By Manesh Samtani | 10/07/2025

A new joint task force will use individual-based surveillance and AI to freeze accounts, impose heavy fines, and ban manipulators from the market.

AML / KYC

Japan FSA Publishes H1 Data on Online Brokerage Fraud

By Editors | 09/07/2025

Data from the FSA reveals that the unauthorised stock sales peaked in May, but the trend reversed sharply in June following widespread warnings.

Securities / Derivatives

Dalian Exchange Launches Benzene Futures and Options

By Editors | 09/07/2025

The new derivatives aim to provide risk management tools for the world's largest aromatics producer and enhance China's pricing influence.

Securities / Derivatives

India’s NSDL and CDSL Launch Proxy Advisory Integration

By Nithya Subramanian | 09/07/2025

The two depositories have launched a new electronic voting feature that integrates proxy advisory recommendations, enabling retail investors to make informed decisions.

Securities / Derivatives

Vietnam’s Securities Firms Adjust Fees as New VAT Rules Take Effect

By Nithya Subramanian | 09/07/2025

Brokerage services previously exempt from tax are now subject to 10% VAT under revised law, leading to higher costs for investors.

Securities / Derivatives

SEBI to Rationalise Broker Penalties, Ease Compliance Burden

By Nithya Subramanian | 09/07/2025

SEBI is questioning whether the term penalty is fair, given that many actions branded as such do not deserve the tag.

Enforcement

Taiwan FSC Fines Ta-Chan Securities, Suspends Manager for Violations

By Editors | 09/07/2025

Ta-Chan Securities was fined for internal control failures. A discretionary investment manager was suspended for prohibited personal account trading.

ESG / Sustainability

Japan FSA Outlines Priorities on Monitoring, Asset Management and Sustainability

By Thisanka Siripala | 09/07/2025

The FSA has outlined its policy priorities, focusing on enhanced financial monitoring, asset management reform, and bolstering sustainability disclosure and cyber resilience.