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SECURITIES / DERIVATIVES
Enforcement
Japan: Former FSA and TSE Employees Charged for Insider Trading
By Editors | 01/01/2025
The former judge traded on insider information obtained through his work for the FSA. The former TSE employee fed inside information to his father.
Securities / Derivatives
JPX Launches Tool to Reduce Burden of Preparing ESG Disclosures
By Editors | 01/01/2025
The tool is intended to make it easier for TSE-listed companies to gather relevant information in the process of preparing sustainability disclosures.
Securities / Derivatives
SEBI to Implement Stricter Rules for SME Listings
By Editors | 01/01/2025
SEBI is raising the minimum investment required to subscribe to an SME IPO and introducing measures to ensure promoters retain significant shareholdings.
Market Infrastructure
Taiwan, Japan to Launch First Cross-border ETF in Q3 2025
By Manesh Samtani | 01/01/2025
New FSC recognition paves the way for Taiwanese ETFs to be brought into the Japanese market for the first time
Market Infrastructure
SEBI Provides Relief on Deadlines for Cybersecurity Measures
By Editors | 01/01/2025
SEBI said it won’t impose penalties for non-compliance for three months provided REs can demonstrate progress with implementation.
Enforcement
SFC Fines Ever-Long Securities for IPO Sponsor Failures
By Editors | 30/12/2024
The SFC said Ever-Long Securities failed to perform appropriate due diligence and make complete disclosures in a GEM listing application.
Securities / Derivatives
Japan FSA to Establish New Asset Management Division
By Editors | 30/12/2024
The FSA aims to develop the asset management industry as the fourth financial industry pillar alongside banking, securities, and insurance.
Market Infrastructure
SFC, HKMA Issue Revised Derivatives Reporting Guidance
By Editors | 30/12/2024
Revised FAQs and Supplementary Reporting Instructions have been issued to reflect changes taking effect on 29 September 2025.
Securities / Derivatives
Korea Sees Growing Participation in Corporate Value-Up Programme
By Manesh Samtani | 30/12/2024
99 firms have now made value-up disclosures, including 27 in December alone, with more companies saying they will participate “as soon as possible”.
Enforcement
SFC Imposes Fine and Lifetime Ban Against Fund Manager
By Editors | 28/12/2024
The SFC said the former fund manager’s removal from the industry is “necessary to protect the investing public”.
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