Securities / Derivatives

Enforcement

Hong Kong Top Court Reinstates Convictions in Convoy Fraud Case

By Sanday Chongo Kabange | 17/11/2025

Four former executives face restored sentences for a bond placement scheme, as regulators signal tougher oversight in the financial hub.

Crypto / Digital Assets

MAS Issues Updated Guide for Tokenised Capital Markets Products

By Nithya Subramanian | 17/11/2025

The guide sets out regulatory expectations for tokenised securities, stressing technology-neutral laws, disclosure of digital-asset risks, licensing needs, and obligations for intermediaries.

Securities / Derivatives

Pakistan, China Advance Plans to Launch Cross-Border ETF

By Mark Johnston | 17/11/2025

Regulators and market leaders gathered in Pakistan to advance a cross-border China ETF and push key policy reforms for Islamic finance and REITs.

Securities / Derivatives

BSEC Issues New Regulations for Mutual Fund Industry

By Nithya Subramanian | 17/11/2025

The new regulations tighten eligibility, disclosure, NAV, reporting, IT and audit requirements to strengthen investor protection and fund governance.

Enforcement

SFC Fines Tung Tai Securities for Failing to Guard Against Fraud

By Sanday Chongo Kabange | 17/11/2025

The penalty follows a USD 3.3 million fraud where staff acted on bogus emails, ignoring multiple red flags and internal control failures.

Securities / Derivatives

Asia Funds Grow Cautious on ESG Policy, Citing Regulatory Burden

By Manesh Samtani | 17/11/2025

A new report shows Asia-based fund managers are tightening ESG deal screening but are reluctant to change policies unless compelled by regulators.

Securities / Derivatives

DMIST Establishes Global Standard for Self-Match Prevention

By Manesh Samtani | 17/11/2025

The derivatives standards body has published a framework for exchanges and traders to harmonise self-match prevention tools globally.

Securities / Derivatives

Bursa Malaysia Launches Platform for Vetting Research, Online Commentary

By Mark Johnston | 16/11/2025

The exchange aims to counter unlicensed online commentary by having licensed advisers review and publish public research submissions.

Securities / Derivatives

Korea Delays Decision on Penalties for Mis-Selling ELS Products

By Mark Johnston | 15/11/2025

A decision on penalties, potentially in the trillions of won, is pushed back as authorities clarify rules on 'revenue'.