Securities / Derivatives

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    Securities / Derivatives

    Korea FSS Launches New Short-seller Registration System

    By Manesh Samtani | 07/01/2025

    Entities intending to engage in transactions with the potential for naked short selling have to apply for a registration number

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    ESG / Sustainability

    Taiwan FSC Establishes New Division to Promote Innovation

    By Editors | 07/01/2025

    The division will focus on formulating policy relating to fintech and innovation, green and transition finance, and financial market development.

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    Securities / Derivatives

    Chinese Exchanges Revise Guidelines to Promote Special Bond Types

    By Editors | 07/01/2025

    The revisions aim to promote sci-tech innovation bonds, green bonds, rural revitalisation bonds, SME support bonds, and short-term bonds.

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    Enforcement

    HK Court Fines Solicitor for Breaching SFO Secrecy Provision

    By Editors | 07/01/2025

    This is the first time a Hong Kong practicing solicitor has been convicted for contravening the secrecy provision under the SFO.

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    ESG / Sustainability

    Regulation Asia: Top 10 Contributed Articles for 2024

    By Editors | 05/01/2025

    This list presents the most-read contributed articles published by Regulation Asia in 2024, based on aggregated user traffic.

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    Securities / Derivatives

    HKIC Selects Four Firms to Manage New CIES Portfolio

    By Editors | 05/01/2025

    Betatron Venture Group, Inno Angel Fund, MindWorks Capital and Radiant Tech Ventures were appointed to manage the new CIES investment portfolio.

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    Securities / Derivatives

    FDIC Seeking Enhanced Oversight of Blackrock, Vanguard

    By Manesh Samtani | 05/01/2025

    BlackRock and Vanguard are asked to adopt a “passivity agreements” to ensure they don’t influence business decisions in the banks they invest in.

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    ESG / Sustainability

    Philippine SEC Issues Draft Framework for Green Equity Offerings

    By Editors | 05/01/2025

    The ‘green equity’ designation signifies that over 50% of both revenue and investments are linked to green activities.

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    AML / KYC

    Taiwan to Loosen Rules Imposed on Overseas Securities Clients

    By Editors | 04/01/2025

    The FSC will make account opening, order verification and fund deposits more convenient for overseas clients

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    Securities / Derivatives

    SEBI Introduces Framework to Lower Entry Barrier for Passive Funds

    By Editors | 04/01/2025

    The framework allows PE funds set up in India or overseas to sponsor “MF Lite” entities, subject to certain conditions

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