Securities / Derivatives

    Enforcement

    US PCAOB Revokes Hong Kong Audit Firm's Registration

    By Manesh Samtani | 24/07/2025

    Centurion ZD CPA & Co. and its owner have been permanently barred after the PCAOB found major violations in the 2021 audit of Luckin Coffee.

    Securities / Derivatives

    Korea FSS Directs ETFs to Cut Crypto Stock Exposure

    By Manesh Samtani | 24/07/2025

    The FSS has told asset managers to limit holdings in firms like Coinbase and MicroStrategy, citing a 2017 policy.

    Securities / Derivatives

    KRX to Monitor Social Media and Online Forums

    By Nithya Subramanian | 24/07/2025

    New market surveillance rules taking effect this month will curb unfair trading based on undisclosed information.

    Enforcement

    Hong Kong SFC Secures Compensation for Clients of Fraudulent Brokerage

    By Sanday Chongo Kabange | 24/07/2025

    The SFC says court-appointed administrators have distributed assets to clients of Hong Kong Wan Kiu Investment.

    Securities / Derivatives

    Industry Majors Release Draft Framework for Public Blockchain Risk

    By Manesh Samtani | 24/07/2025

    A coalition including DTCC, Euroclear and major banks has launched a framework to help regulated firms manage non-financial risks on public blockchains.

    Enforcement

    UK Supreme Court Overturns Rate-rigging Convictions of Ex-Traders

    By Nithya Subramanian | 24/07/2025

    Tom Hayes and Carlo Palombo, once jailed for manipulating benchmark interest rates, have had their convictions overturned due to legal errors in their trials.

    Securities / Derivatives

    Indonesia’s OJK Issues Rules on Internal Controls for Securities Firms

    By Nithya Subramanian | 24/07/2025

    The rules outline stricter requirements for underwriters, brokers, and regional securities firms, focusing on due diligence and IT governance.

    Securities / Derivatives

    Bursa Carbon Exchange Set to Host First Renewable Energy Auction

    By Nithya Subramanian | 24/07/2025

    BCX and UEM Lestra target November 2025 for pilot auction enabling transparent bidding for corporate green electricity contracts.

    Fintech / Regtech

    Cyber Breaches at Top Indonesian Brokerages Prompt Industry Response

    By Mark Johnston | 23/07/2025

    Attackers exploited API vulnerabilities at two prominent securities firms in Indonesia. One of the firms reported losses totalling USD 12.3 million.

    Securities / Derivatives

    China Issues Rules for Hainan Cross-Border Asset Management Pilot

    By Manesh Samtani | 23/07/2025

    New implementation rules allow foreign individuals and institutions to buy onshore products via Hainan, a key step in opening up the free trade port.

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