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Reporting on regulatory frameworks and rules governing market design, authorisation, and oversight of key financial market participants and infrastructures.

Conduct, Culture & Accountability
Hong Kong SFC Fines Brokerage Over Client Money Failures
By Sanday Chongo Kabange | 30/09/2025
The SFC reprimanded Roofer Securities for 12 incidents of improper client money segregation, including using client funds to meet its own margin calls.

Trading & Investment
Korea, Japan Investment Bodies Eye Stronger Capital Market Cooperation
By Nithya Subramanian | 30/09/2025
KOFIA and JITA agreed to cooperate on the development of asset management products, information sharing, and personnel exchange.

Structural Regulation
Hong Kong LegCo Approves First Phase of MPF 'Full Portability'
By Sanday Chongo Kabange | 30/09/2025
New employees from May 2025 will be able to transfer employer contributions to a scheme of their choice annually.

Structural Regulation
BSP to Halt New Digital Bank Applications from December
By Mark Johnston | 29/09/2025
The regulator has set a 30 November deadline for submissions, citing the need to balance digital innovation with financial stability.

Trading & Investment
Korea to Ban Discriminatory Interest Rates on Investor Deposits
By Sanday Chongo Kabange | 29/09/2025
The FSS and KOFIA have revised rules to ensure securities firms offer fair and transparent interest rates on customer deposits, ending differential treatment between investors.

Capital Adequacy
RBI Allows Co-operative Banks to Invest in NABARD’s Shared Service Entity
By Nithya Subramanian | 29/09/2025
The RBI has allowed co-operative banks to invest up to 5% of their owned funds in NABARD’s SSE, exempting such investments from prudential caps and unlisted securities restrictions.

Clearing & Post-Trade
South Korea to Revise Tax Rules to Support Foreign Bond Investment
By Mark Johnston | 29/09/2025
Seoul will exempt international depositories from withholding tax obligations to attract foreign capital ahead of a major bond index inclusion.

Structural Regulation
Tokyo Stock Exchange Tightens Growth Market Listing Rules
By Editors | 29/09/2025
The TSE will raise the market capitalisation requirement to JPY 10 billion five years after listing, up from JPY 4 billion after ten years.

PEPs & Sanctions
China Sanctions Six US Firms Over Taiwan and National Security Concerns
By Editors | 29/09/2025
China added the companies to its "unreliable entity" and export control lists, citing military cooperation with Taiwan and risks to its national security.

Structural Regulation
Taiwan Proposes Earlier Disclosure of AGM Materials for All Listed Firms
By Editors | 29/09/2025
The FSC plans to extend stricter reporting deadlines for annual meeting handbooks and annual reports to all listed and OTC-listed companies.
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