SECURITIES / DERIVATIVES

AML / KYC

Taiwan to Loosen Rules Imposed on Overseas Securities Clients

By Editors | 04/01/2025

The FSC will make account opening, order verification and fund deposits more convenient for overseas clients

Securities / Derivatives

SEBI Introduces Framework to Lower Entry Barrier for Passive Funds

By Editors | 04/01/2025

The framework allows PE funds set up in India or overseas to sponsor “MF Lite” entities, subject to certain conditions

Enforcement

PBOC Fines Three FIs for ‘Abnormal’ Bond Trading Behaviour

By Editors | 04/01/2025

Concerns are being raised about the capabilities of small and midsize firms to appropriately manage interest rate risk

Securities / Derivatives

RBI to Require Reporting of OTC Gold Derivatives Trades

By Editors | 03/01/2025

Starting from 1 February, banks must report all OTC transactions in gold derivatives undertaken in domestic markets, GIFT City, and outside India.

Securities / Derivatives

SEBI Board Approves Plan to Tighten Merchant Banker Rules

By Editors | 02/01/2025

SEBI will raise the net worth requirement for merchant bankers and require them to maintain a quarter of this in liquid assets at all times

Securities / Derivatives

Korea Working to Implement Changes to Dividend Practices

By Manesh Samtani | 02/01/2025

Listed companies will be required to set their dividend record dates to be after general shareholders’ meetings.

Securities / Derivatives

New Rules on Treasury Stocks Take Effect in South Korea

By Editors | 01/01/2025

The new rules prohibit listed companies from adding to treasury stocks during corporate spin-offs to protect ordinary shareholders.

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.