Conduct, Culture & Accountability

Taiwan Fines Cathay SITE Over Conflict-of-Interest Breaches

04/09/2026

The asset manager faces a TWD 6 million fine and multiple business restrictions over internal control failures that led to significant investor losses.

Structural Regulation

Korea to Overhaul Ad Rules, Targeting YouTube and Influencer Content

04/09/2026

New rules will bring firms' own YouTube channels under regulatory review and mandate CCO involvement to curb misleading investment product ads.

PEPs & Sanctions

UK Secures $5.2m Recovery in China-Linked Sanctions Evasion Case

04/09/2026

An agricultural trading company has forfeited USD 5.2 million in a UK civil probe that uncovered links to US-sanctioned entities and the use of EMIs and crypto.

AI Risk & Governance

Laos Signs Deal for Digital Platform to Overhaul Investment Approvals

04/09/2026

The new ‘Invest in Laos Platform’ will use a centralised database and AI to streamline procedures, tackle delays, and boost investor confidence.

Structural Regulation

Korea to Publicly Flag Deficient IPO and Rights Issue Filings

04/09/2026

New two-tiered review system will penalise issuers for inadequate corrections while fast-tracking well-prepared securities filings.

Credit Risk

Korea Introduces New Credit Assessment Framework For SMEs

04/09/2026

Regulators are pushing lenders to adopt new credit models, spurring partnerships between banks and fintechs to serve financially excluded businesses.

Trading & Investment

Bangladesh Sets January 2028 Target for Derivatives Market Launch

04/09/2026

BSEC has approved the Dhaka Stock Exchange's roadmap for introducing financial derivatives, starting with index futures, by early 2028.

Fraud, Scams & Cybercrime

Japan to Deploy AI in Fight Against Investment Fraud

04/09/2026

The Consumer Affairs Agency will use generative AI to analyse consumer complaints, aiming for earlier detection of fraudulent schemes and faster intervention.

Anti-Bribery & Corruption

Hong Kong Mandates New Integrity Standards for Government IT Systems

04/09/2026

Government bodies must assess compliance against the new anti-corruption standards when applying for funding for computer systems.