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.