Securities / Derivatives

    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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