Securities / Derivatives

Securities / Derivatives

OJK Indonesia Probes Poor IPO Practices at Investment Banks

By Nithya Subramanian | 26/03/2026

OJK has already penalised UOB Kay Hian and is investigating Mirae and Shinhan, which are among "32 ongoing cases" related to suspected capital markets violations.

Securities / Derivatives

Hong Kong Permits MPF Investment in Active ETFs with 10pc Cap

By Sanday Chongo Kabange | 26/03/2026

The move gives pension funds access to a growing asset class, but with strict guardrails to manage risk for members.

Securities / Derivatives

ASIC Finalises Derivatives Clearing and Reporting Rules

By Manesh Samtani | 26/03/2026

The new rules extend the clearing exception for post-trade risk reduction exercises, aligning with industry feedback and international standards.

Enforcement

SFC Imposes Lifetime Ban, HKD 17.4M Fine for Fund Misconduct

By Sanday Chongo Kabange | 25/03/2026

A former investment analyst funnelled millions from a fund to a personal company through undisclosed, unsecured loans, prompting a lifetime exclusion.

Securities / Derivatives

Taiwan FSC Streamlines Rules for Switching Listing Boards

By Mark Johnston | 25/03/2026

The regulator has proposed amendments to create a more flexible, two-way transfer mechanism and exempt companies from certain requirements when raising capital.

Securities / Derivatives

Taiwan Eases Bond Issuance Rules to Attract Foreign Firms

By Mark Johnston | 25/03/2026

The FSC has revised guidelines for foreign issuers, clarifying eligibility criteria and simplifying procedures to boost Taiwan's bond market.

Securities / Derivatives

SEBI Proposes Framework for Gifting Mutual Fund Investments

By Nithya Subramanian | 25/03/2026

The regulator aims to boost financial inclusion with a proposal allowing investments via prepaid instruments, subject to strict AML checks.

Securities / Derivatives

Korea Exchange to Revise Rules to Combat 'Kimchi Premium' on Gold

By Sanday Chongo Kabange | 25/03/2026

The move will allow direct supply from LBMA-accredited refiners to stabilise prices amid extreme volatility and a persistent domestic premium.

Securities / Derivatives

FSS Korea Urges ETF Industry to Tighten Controls Amid Growth Risks

By Mark Johnston | 25/03/2026

FSS flags concerns over exaggerated advertising, rebalancing shocks, and advance portfolio disclosures amid rapid market growth and new product launches.