SECURITIES / DERIVATIVES

Securities / Derivatives

SEBI to Rationalise Broker Penalties, Ease Compliance Burden

By Nithya Subramanian | 09/07/2025

SEBI is questioning whether the term penalty is fair, given that many actions branded as such do not deserve the tag.

Enforcement

Taiwan FSC Fines Ta-Chan Securities, Suspends Manager for Violations

By Editors | 09/07/2025

Ta-Chan Securities was fined for internal control failures. A discretionary investment manager was suspended for prohibited personal account trading.

ESG / Sustainability

Japan FSA Outlines Priorities on Monitoring, Asset Management and Sustainability

By Thisanka Siripala | 09/07/2025

The FSA has outlined its policy priorities, focusing on enhanced financial monitoring, asset management reform, and bolstering sustainability disclosure and cyber resilience.

Securities / Derivatives

Taiwan Relaxes Asset Disclosure Rules for Largest Public Companies

By Editors | 08/07/2025

The FSC has raised the reporting thresholds for certain non-related party transactions, a move expected to reduce disclosures by over 80 percent for 34 top firms.

Securities / Derivatives

China Mandates Stricter ETF Risk Controls for Fund Managers, Brokers

By Editors | 08/07/2025

New rules require fund managers to enhance operational controls and brokers to monitor high-risk client trading, amid rapid market growth.

Securities / Derivatives

SEBI Proposes to Allow AMCs to Manage Pooled Funds

By Nithya Subramanian | 08/07/2025

The move aims to create a level playing field for AMCs, but comes with strict conditions to mitigate conflicts of interest and misuse of investor funds.

Market Infrastructure

UPDATED: Bond Connect Expands to Non-Banks, Repo Rules Eased

By Manesh Samtani | 08/07/2025

Regulators will permit non-bank institutions into Southbound trading and allow rehypothecation in repo deals, with key changes launching on 25 August.

Securities / Derivatives

Taskforce Suggests Oversight Body to Strengthen Accountability of BSEC

By Nithya Subramanian | 08/07/2025

The proposed oversight body would be intended to reduce undue interference from the Finance Ministry, restoring investor confidence in Bangladesh’s capital market.

Market Infrastructure

Hong Kong's New Investor Visa Draws Over HKD 46 Billion in Pledged Capital

By Sanday Chongo Kabange | 08/07/2025

The Capital Investment Entrant Scheme has attracted over 1,500 applicants, with plans to further enhance tax regimes for funds and family offices.