Securities / Derivatives

    Enforcement

    US Prosecutors Charge Hong Kong Man Over False SEC Filings

    By Sanday Chongo Kabange | 17/11/2025

    The indictment alleges false SEC filings were used to create sham investment advisers for a "ramp-and-dump" ploy targeting US retail investors.

    Securities / Derivatives

    KRX to Mandate Registered Domestic Auditors for Foreign Listings

    By Mark Johnston | 17/11/2025

    The KRX is closing a regulatory "blind spot" to enhance accounting transparency and investor confidence in overseas firms listing in Korea.

    Securities / Derivatives

    RBI Updates Repo Rules, Adds Municipal Bonds as Collateral

    By Nithya Subramanian | 17/11/2025

    The updated directions refine trading and reporting rules, and streamline participation, settlement, and risk management across India’s repo market.

    Securities / Derivatives

    Industry Backs ASIC Roadmap but Warn on Public Market Hurdles

    By Sanday Chongo Kabange | 17/11/2025

    executives from Goldman Sachs, BlackRock and ART say ASIC's new roadmap is a clear way forward for the private credit market.

    Securities / Derivatives

    Korea Approves First Operators Under 'Investment Management Account' Framework

    By Mark Johnston | 17/11/2025

    The approved firms will be able to channel significant funds into corporate finance-related assets and venture investments, but must guarantee investor principal.

    Securities / Derivatives

    Korea’s New ATS Nextrade Breaches 15 Percent Volume Cap, Testing New Rules

    By Mark Johnston | 17/11/2025

    The alternative trading system exceeded the KRX volume limit for the first time, triggering a two-month regulatory grace period.

    Securities / Derivatives

    India’s NCDEX to Enter Mutual Fund Arena

    By Nithya Subramanian | 17/11/2025

    The new electronic mutual fund platform, which is awaiting SEBI’s nod, will to tap investors across smaller cities and semi-urban markets.

    Securities / Derivatives

    SEBI Consults on IPO Rule Changes to Boost Retail Investor Participation

    By Nithya Subramanian | 17/11/2025

    SEBI proposes easing IPO lock-in rules and replacing the abridged prospectus with a concise offer summary to boost transparency and retail participation.

    Securities / Derivatives

    GIFT City Regulator Consults on Rules for Investment Advisers

    By Nithya Subramanian | 17/11/2025

    The proposed framework will regulate how investment advisers in GIFT City provide implementation services to their clients, aiming to bring clarity and strengthen investor protection.

    Securities / Derivatives

    CSRC Chairman Seeking to Step Down for Health Reasons - Reports

    By Mark Johnston | 17/11/2025

    Conflicting reports over Wu Qing’s tenure emerge as regulator highlights reforms to QFII programme and Hong Kong listings.

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