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Securities / Derivatives
AML / KYC
SEBI Adopts New Threshold for Granular Disclosures by FPIs
By Editors | 13/04/2025
The higher threshold reduces the number of FPIs that are subject to granular disclosure requirements, reducing compliance costs for foreign investors.
Securities / Derivatives
FSC Korea in Bid to Boost Corporate Financing by Securities Firms
By Thisanka Siripala | 11/04/2025
Under the new rules, securities firms must allocate 25% of funds raised via commercial paper and IMAs to venture capital.
Securities / Derivatives
Korea to Phase in XBRL Disclosure Requirements for SMEs
By Thisanka Siripala | 11/04/2025
The FSS announced it will allow implementation in phases for companies with assets under KRW 500 billion.
Securities / Derivatives
China: Stock Exchanges Finalise Rules on Programmatic Trading
By Manesh Samtani | 11/04/2025
The new rules will come into effect on 7 July, imposing reporting and risk control requirements on market participants and securities firms.
ESG / Sustainability
Korea FSS Calls Out Poor Stewardship Practices by Fund Managers
By Thisanka Siripala | 11/04/2025
South Korea’s FSS warned about superficial voting, fund pricing errors and pledged to name and shame underperforming firms.
Securities / Derivatives
CSRC Proposes Revised Regulations for Fund Custodians
By Manesh Samtani | 10/04/2025
The entry requirements are raised and the responsibilities of securities investment fund custodians are strengthened.
Big Picture
Regulatory Fragmentation Hindering Growth of Tokenised Finance – Report
By Thisanka Siripala | 10/04/2025
Regulatory fragmentation, cross-platform settlement and token contract standardisation are the key challenges to to widespread adoption of tokenised financial assets.
Enforcement
RBA “Lost Confidence” in ASX Months Before December Outage – Report
By Sanday Chongo Kabange | 10/04/2025
The RBA had warned ASX in a September 2024 confidential that it had lost confidence in the exchange’s ability to manage its operations and risks.
ESG / Sustainability
Thailand’s SEC Launches Special ESG Fund Guidelines
By Nithya Subramanian | 10/04/2025
Asset managers can start applying for Thai ESGX fund approvals from 16 April 2025. The first 36 funds are expected to launch on 2 May 2025.
AML / KYC
SEBI Mandates Use of ‘1600’ Phone Number Series to Curb Fraud
By Nithya Subramanian | 10/04/2025
SEBI has asked customers to exercise caution with calls from generic mobile numbers that may be used by malicious actors.
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