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Enforcement
Hong Kong SFC Fines UBS HK$8m for Investor Classification Failures
By Sanday Chongo Kabange | 21/10/2025
The penalty relates to a 12-year systems failure that led to securities lending and the sale of complex products to ineligible clients.

Securities / Derivatives
Thailand’s SET Proposes Overhaul of Listed Company Rules
By Nithya Subramanian | 21/10/2025
Companies would have to report updated shareholder lists, disclose major risk-posing events, and adhere to revised criteria for backdoor listings and cash company classifications.

Securities / Derivatives
Korea Tightens Disclosure Rules for Treasury Stock Exchangeable Bonds
By Mark Johnston | 21/10/2025
The move addresses concerns that the instruments are being used to improperly strengthen major shareholder influence.
Capital / Liquidity
India, Sri Lanka Explore Rupee Bond Roadmap
By Nithya Subramanian | 20/10/2025
The initiative could allow Sri Lankan entities to raise funds in Indian rupees as New Delhi expands regional rupee lending.

Securities / Derivatives
NZX Mandates Stricter Business Continuity, Governance Rules
By Sanday Chongo Kabange | 20/10/2025
NZX has finalised new operational resilience rules for participants and will mandate stricter director independence disclosures from 2026.

Securities / Derivatives
India’s IFSCA Proposes Fund Rule Changes to Streamline Operations
By Nithya Subramanian | 20/10/2025
The draft amendments seek to simplify fund manager eligibility, extend fundraising timelines, clarify investor rights, and introduce targeted disclosure and ESG reliefs.

ESG / Sustainability
CSRC Targets 'Key Minority' with Stricter Corporate Governance Rules
By Manesh Samtani | 20/10/2025
The new rules, effective 2026, introduce full-lifecycle accountability for executives and stricter controls on remuneration and related-party transactions.

Securities / Derivatives
Indian Authorities Launch Probe Into Prop Trading Firm
By Nithya Subramanian | 17/10/2025
Search operations were conducted against the proprietary trading firm Graviton, as part of a wider investigation into potential tax evasion and regulatory compliance in the HFT sector.

ESG / Sustainability
Taiwan Eases ESG Reporting Rules for Small Futures Firms
By Sanday Chongo Kabange | 17/10/2025
TAIFEX has amended its rules to provide a simplified reporting option for smaller firms while expanding GHG disclosure for larger players.
Securities / Derivatives
SGX, IDX Launch Cross-Border Depository Receipts Linkage
By Nithya Subramanian | 17/10/2025
The new initiative strengthens ASEAN capital market integration and expands investor access to Indonesian blue-chip stocks.
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