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Conduct, Culture & Accountability
Japanese Brokerage Firm Accused of Misleading Elderly Clients
By Thisanka Siripala | 04/04/2025
Tachibana Securities allegedly misled around 50 elderly clients and encouraged excessive trading for commissions, the SESC said.

Trading & Investment
Korea Introduces Incentives to Boost Late-Night FX Trading
By Nithya Subramanian | 04/04/2025
Korea’s MOEF and central bank plan to reward top-performing institutions to attract more foreign FIs to the domestic forex market.

Conduct, Culture & Accountability
New Zealand FMA Launches Review on Financial Advice Accessibility
By Thisanka Siripala | 04/04/2025
The review will inform the FMA’s approach to reducing regulatory burdens and enhancing the provision of financial advice across New Zealand.

Fraud, Scams & Cybercrime
Korean Regulators to Intensify Scrutiny of IPO Applicants
By Nithya Subramanian | 04/04/2025
The enhanced scrutiny is a response to cases where stock prices plummeted shortly after listing and concerns about the financial health of newly listed firms.

Trading & Investment
SEBI Explores Allowing Foreigners Direct Access to Indian Stocks
By Nithya Subramanian | 03/04/2025
The new proposal will bypass the existing FPI framework. It aims to expand India’s investor base and boost market liquidity.

Sustainable Finance
Taiwan FSC Expands Investment Scope for Insurance Funds
By Nithya Subramanian | 03/04/2025
The amendments aim to channel insurance funds into strategic industries with emphasis on infrastructure and sustainable and green finance initiatives.

Structural Regulation
Korea’s Acting President Vetoes Commercial Act Revision
By Nithya Subramanian | 03/04/2025
The revision sought to expand the fiduciary duties of corporate boards, requiring them to consider shareholder interests more.

Emerging Prudential Risks
IOSCO Issues Standards Implementation Monitoring Report
By Editors | 03/04/2025
IOSCO assessed the implementation of standards for addressing systemic risk and reviewing the perimeter of regulation regularly

Structural Regulation
CSRC Approves Full UBS Ownership of Securities JV in China
By Nithya Subramanian | 03/04/2025
UBS will become the full owner of UBS Securities in China. The bank has also finished absorbing Credit Suisse entities in India.

Trading & Investment
Hong Kong Launches Family Office Digital Knowledge Hub
By Sanday Chongo Kabange | 03/04/2025
The digital knowledge hub is a resource dedicated to family offices in Hong Kong and around the world.
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