Structural Regulation

    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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