Securities / Derivatives

Enforcement

Japanese Prosecutors Indict Sumitomo Mitsui Trust Bank Official

By Editors | 06/04/2025

The official, a 55-year-old former head of the bank’s securities agency division, has reportedly admitted to insider trading charges.

Securities / Derivatives

Japan FSA Calls for Earlier Release of Securities Reports

By Thisanka Siripala | 06/04/2025

The FSA said the Finance Minister Katsunobu Kato has made the request for companies to release their securities reports earlier.

Securities / Derivatives

China Updates Due Diligence Rules for Three Types of ABS

By Editors | 06/04/2025

The revisions require due diligence on cash flow and transaction structures, in addition to the business participants and underlying assets.

Market Infrastructure

Taiwan Issues Rules for New Asset Management Zone in Kaohsiung

By Nithya Subramanian | 06/04/2025

The FSC released guidelines for FIs wishing to offer services to high-net-worth or international clients from the Kaohsiung Special Zone.

Market Infrastructure

Korea Eases Stock Market Access for Foreign Investors

By Nithya Subramanian | 04/04/2025

Korea is easing restrictions on omnibus accounts to modernise its capital markets and boost foreign investor participation.

Securities / Derivatives

China Revises Securities Issuance and Underwriting Regulations

By Manesh Samtani | 04/04/2025

The changes will make it easier for bank wealth management products and insurance asset management products to subscribe to IPOs.

Enforcement

Japanese Brokerage Firm Accused of Misleading Elderly Clients

By Thisanka Siripala | 04/04/2025

Tachibana Securities allegedly misled around 50 elderly clients and encouraged excessive trading for commissions, the SESC said.

Market Infrastructure

Korea Introduces Incentives to Boost Late-Night FX Trading

By Nithya Subramanian | 04/04/2025

Korea’s MOEF and central bank plan to reward top-performing institutions to attract more foreign FIs to the domestic forex market.

Securities / Derivatives

Korean Regulators to Intensify Scrutiny of IPO Applicants

By Nithya Subramanian | 04/04/2025

The enhanced scrutiny is a response to cases where stock prices plummeted shortly after listing and concerns about the financial health of newly listed firms.