Securities / Derivatives

AML / KYC

SEBI Adopts New Threshold for Granular Disclosures by FPIs

By Editors | 13/04/2025

The higher threshold reduces the number of FPIs that are subject to granular disclosure requirements, reducing compliance costs for foreign investors.

Securities / Derivatives

FSC Korea in Bid to Boost Corporate Financing by Securities Firms

By Thisanka Siripala | 11/04/2025

Under the new rules, securities firms must allocate 25% of funds raised via commercial paper and IMAs to venture capital.

Securities / Derivatives

Korea to Phase in XBRL Disclosure Requirements for SMEs

By Thisanka Siripala | 11/04/2025

The FSS announced it will allow implementation in phases for companies with assets under KRW 500 billion.

Securities / Derivatives

China: Stock Exchanges Finalise Rules on Programmatic Trading

By Manesh Samtani | 11/04/2025

The new rules will come into effect on 7 July, imposing reporting and risk control requirements on market participants and securities firms.

ESG / Sustainability

Korea FSS Calls Out Poor Stewardship Practices by Fund Managers

By Thisanka Siripala | 11/04/2025

South Korea’s FSS warned about superficial voting, fund pricing errors and pledged to name and shame underperforming firms.

Securities / Derivatives

CSRC Proposes Revised Regulations for Fund Custodians

By Manesh Samtani | 10/04/2025

The entry requirements are raised and the responsibilities of securities investment fund custodians are strengthened.

Big Picture

Regulatory Fragmentation Hindering Growth of Tokenised Finance – Report

By Thisanka Siripala | 10/04/2025

Regulatory fragmentation, cross-platform settlement and token contract standardisation are the key challenges to to widespread adoption of tokenised financial assets.

Enforcement

RBA “Lost Confidence” in ASX Months Before December Outage – Report

By Sanday Chongo Kabange | 10/04/2025

The RBA had warned ASX in a September 2024 confidential that it had lost confidence in the exchange’s ability to manage its operations and risks.

ESG / Sustainability

Thailand’s SEC Launches Special ESG Fund Guidelines

By Nithya Subramanian | 10/04/2025

Asset managers can start applying for Thai ESGX fund approvals from 16 April 2025. The first 36 funds are expected to launch on 2 May 2025.