Securities / Derivatives

Securities / Derivatives

SC Malaysia Updates Guidelines for Share Offerings by Unlisted Public Companies

By Nithya Subramanian | 01/04/2025

The guidelines address concerns over information quality, disclosure standards, and the offering of shares to retail investors.

Enforcement

RBA, ASIC Take “Unprecedented” Action over ASX CHESS Outage

By Sanday Chongo Kabange | 31/03/2025

ASX is ordered to engage an independent expert to undertake a technical review of its core technology infrastructure.

Enforcement

China Imposes $2.3b in Penalties for Securities Fraud Case

By Editors | 31/03/2025

The fraudulent stock and bond issuance case involves multiple related entities and 43 responsible persons, some of whom received lifetime bans.

AML / KYC

HKMA Ask Banks to Heed SFC Guidance on IPO Financing

By Sanday Chongo Kabange | 31/03/2025

Banks are directed to comply with new SFC guidance on IPO financing, particularly the investor identification requirement under FINI.

Securities / Derivatives

SFC Consults on Proposals to Streamline Regulatory Processes

By Sanday Chongo Kabange | 31/03/2025

For post-IPO matters, the SFC proposes a less disruptive alternative to suspension. For trading suspensions, applications for resumption will be processed more quickly

AML / KYC

Thailand to Grant SEC More Power to Tackle Market Abuse

By Editors | 31/03/2025

The SEC will be able to conduct its own investigations, directly file charges in court, and block major business transactions if it detects financial irregularities.

Crypto / Digital Assets

SFC Approves Launch of “World’s First” Tokenised Money Market ETF

By Manesh Samtani | 29/03/2025

HashKey and Bosera said the new ETFs will provide investors an instrument that “balances traditional stability with the agility and flexibility of digital assets”.

ESG / Sustainability

Thai SEC Relaxes Rules to Allow Tokenisation of Carbon Credits

By Manesh Samtani | 29/03/2025

Digital asset businesses can provide services for carbon credits, RECs, and carbon allowances in a “ready-to-use digital token format”

Capital / Liquidity

MAS Confirms Plans to Revise Rules for Exchanges and Clearing Houses

By Nithya Subramanian | 29/03/2025

MAS will tighten solvency requirements for capital market FMIs and require them to hold sufficient cash for recovery or orderly wind-down.