Securities / Derivatives

Enforcement

Korea FSC Refers Executives of PE Firm MBK Partners for Prosecution

By Thisanka Siripala | 23/04/2025

Regulators allege that MBK Partners issued short-term bonds for an affiliate without disclosing that the company was preparing for corporate rehabilitation.

Enforcement

NZ FMA Secures Insider Trading Conviction Against Ex-Heartland Bank Staffer

By Thisanka Siripala | 23/04/2025

The accountant was convicted of insider trading and sentenced to six months’ home detention after pleading guilty to insider trading offences.

Securities / Derivatives

SEBI Proposes to Increase REIT Investment Limit for Mutual Funds

By Editors | 23/04/2025

SEBI proposes to increase the single issuer limit and overall exposure limit for mutual fund investment in equity and hybrid REIT and InvIT schemesSEBI proposes to increase the single issuer limit and overall exposure limit on mutual fund investments in equity and hybrid REIT and InvIT schemes

Securities / Derivatives

SEBI Expands Insider Trading Controls to Cover Immediate Relatives

By Nithya Subramanian | 23/04/2025

The new rules, to be implemented in phases starting July 2025, aim to strengthen market integrity and curb misuse of unpublished price-sensitive information.

AML / KYC

SFC Imposes Six Month Ban on Former Executive of CSC Futures

By Sanday Chongo Kabange | 23/04/2025

The SFC said the former senior manager failed to discharge his duties as a responsible officer, resulting in AML/CFT failures by CSC Futures.

Capital / Liquidity

Japan FSA Raises Alarm Over Hidden Losses in Structured Loans

By Thisanka Siripala | 22/04/2025

Structured loans which bundle JGBs with derivatives have allowed regional banks to avoid marking-to-market or publicly disclosing losses as interest rates have risen.

Securities / Derivatives

SHFE Inks Derivatives Cooperation MoU With Gulf Exchange

By Mark Johnston | 22/04/2025

The collaboration covers product innovation, exchange of market development insights, research support and investor education.

Enforcement

FSS Korea Penalises Shinhan Asset Trust Execs Over Personal Trades

By Editors | 21/04/2025

13 executives and employees traded stocks in accounts that were hidden from their employer. Current and former employees are also suspected of accepting bribes.

Securities / Derivatives

JSDA to Make Multi-Factor Authentication Mandatory for Members

By Editors | 21/04/2025

Customers of six brokerage firms had their accounts hacked, resulting in almost JPY 100 billion worth of unauthorised trades.