SECURITIES / DERIVATIVES

Enforcement

Korea FSS Launches Probe into ETF Management Practices

By Thisanka Siripala | 17/04/2025

The FSS’s probe will examine the use of synthetic swaps, ETF creation practices, securities lending behaviour, and ETF mispricing issues.

ESG / Sustainability

Thailand’s SEC Proposes Rule Updates for SRI Funds

By Nithya Subramanian | 17/04/2025

The new rules aim to curb greenwashing, tighten ESG investment standards, and improve transparency for investors.

Securities / Derivatives

SEBI Undertaking Review of Regulations for Asset Managers

By Editors | 16/04/2025

The review will focus in particular on provisions that restrict the business activities of asset management companies.

Securities / Derivatives

TPEx, Bloomberg to Collaborate on Index-based Products

By Manesh Samtani | 16/04/2025

Taipei Exchange and Bloomberg Index Services will initiate discussions with potential issuers to launch co-branded index-based products “as soon as possible”.

Securities / Derivatives

China Moves to Limit Stock Sales Amid Escalating US Trade War

By Mark Johnston | 16/04/2025

Brokerages have been instructed to enforce a “soft limit” of CNY 50 million per day on net stock sales by large clients.

Securities / Derivatives

India: IFSCA Grants Transitional Relief for New Fund Manager Rules

By Nithya Subramanian | 16/04/2025

Fund managers with PPMs that expired before 19 February can re-file within three months at a reduced filing fee.

Securities / Derivatives

Thai SEC Proposes Amendments to Enhance Supervisory Effectiveness

By Editors | 15/04/2025

The amendments would strengthen regulation of crowdfunding platforms and private placements, and increase penalties for various types of violations.

Enforcement

ASIC Sues Wiluna Mining Over 2022 Disclosure Breaches

By Sanday Chongo Kabange | 15/04/2025

Wiluna Mining announced in June 2022 that it had raised A$57.3mn when only A$50.3mn of funds were actually received.

Enforcement

Korea Approves Reform Allowing Account Freeze for Market Abuse

By Manesh Samtani | 15/04/2025

Those engaged in unfair trading or illegal short selling can have their accounts frozen and be banned from trading for five years.