Securities / Derivatives

Enforcement

Korea FSS Fines Five Brokerages KRW 3b for ELS Mis-Selling

By Mark Johnston | 04/02/2026

Regulators have fined five firms and outlined specific sales practice violations at each, from bypassing recording rules to improper advertising.

Securities / Derivatives

China Proposes 5pc Minimum Stake for Strategic ‘Patient Capital’ Investors

By Mark Johnston | 03/02/2026

New draft rules expand the definition of strategic investors and set a 5% minimum stake to encourage long-term institutional investment.

Securities / Derivatives

India’s Budget 2026 Raises Derivatives Trading Taxes to Curb Speculation

By Nithya Subramanian | 03/02/2026

The government has increased transaction taxes on equity derivatives to rein in speculative trading, a move that has raised questions over liquidity, hedging costs and investor participation.

Securities / Derivatives

BOT Tightens Online Gold Trading Rules to Curb Baht Volatility

By Nithya Subramanian | 03/02/2026

BOT will cap gold trading from 1 March 2026, and introduce stricter rules on payments and delivery to boost transparency and reduce currency volatility.

Securities / Derivatives

SEBI’s Corporate Bond Liquidity Window Struggles to Gain Traction

By Nithya Subramanian | 03/02/2026

Despite SEBI’s bid to enhance secondary market liquidity, issuers have largely shunned the corporate bond liquidity window amid strict norms and limited incentives.

Securities / Derivatives

Korea Moves to Formalise Bond Council to Manage Issuance Concentration

By Mark Johnston | 03/02/2026

New regulation aims to coordinate supply and prevent market volatility through a permanent body involving regulators and issuing agencies.

Securities / Derivatives

ISDA Spotlights Constraints on Using Derivatives in Pension Funds

By Manesh Samtani | 03/02/2026

New paper details restrictive rules in China and India, while noting widespread use of swaps and forwards in Australia and South Korea.

Crypto / Digital Assets

KOFIA Restructures to Support Capital Market, Digital Assets

By Mark Johnston | 03/02/2026

KOFIA is establishing a new “K-Capital Market Division” and a new Digital Strategy Team, while moving to strengthen its influence on policy and regulation.

Market Infrastructure

SFC Official Outlines Planned Reforms to Boost REIT Market

By Sanday Chongo Kabange | 03/02/2026

The SFC is streamlining listing rules, planning a new M&A framework, and prioritising REIT Connect to enhance market competitiveness and liquidity.