SECURITIES / DERIVATIVES

Enforcement

FSS Korea Probes Securities Firms’ Bond Underwriting Practices

By Mark Johnston | 14/03/2025

The FSS will examine cases where securities firms have leveraged the resources and influence of affiliated entities to facilitate bond issuance.

Securities / Derivatives

Thai Stock Exchange Lists New Batch of Depositary Receipts

By Nithya Subramanian | 14/03/2025

SET listed five new DRs referencing Chinese stocks, two linked to Vietnamese companies and one DRx referencing a US stock.

Enforcement

HKEX Sanctions Former Orient Securities Director

By Sanday Chongo Kabange | 14/03/2025

HKEX said the former director failed to cooperate with an investigation into potential GEM listing rules breaches.

Capital / Liquidity

FSS Korea Urges Securities Firms to Support Innovative Companies

By Mark Johnston | 14/03/2025

FSS governor said securities firms must be more faithful to their role in driving innovative growth through the supply of venture capital.

Enforcement

ASIC Takes FIIG Securities to Court Over Cybersecurity Failures

By Thisanka Siripala | 14/03/2025

ASIC alleges systemic and prolonged cybersecurity failures led to the compromise of personal information of approximately 18,000 clients.

Securities / Derivatives

Thailand Unveils ESG Tax Incentives to Stimulate Stock Market

By Nithya Subramanian | 13/03/2025

The SET will meanwhile start consultations on a new long-term savings and investment scheme modelled after Japan’s NISA.

Securities / Derivatives

IOSCO Publishes New Consultation Report on Artificial Intelligence

By Thisanka Siripala | 13/03/2025

The report identifies five key findings following engagement with IOSCO members and stakeholders and invites further feedback.

Securities / Derivatives

Geopolitics Seen as Biggest Driver of Derivatives Market Activity – FIA

By Thisanka Siripala | 13/03/2025

FIA President Walt Lukken said economics is taking a back seat to politics in terms of what will drive the derivatives markets.

Fintech / Regtech

IOSCO Proposes Recommendations to Address “Neo-broker” Risks

By Manesh Samtani | 13/03/2025

The recommendations aim to protect retail investors by enhancing the transparency, fairness, and integrity of neo-brokers’ operations.