Securities / Derivatives

Enforcement

Hong Kong SFC Imposes Five Year Ban on Former Citi Executive

By Sanday Chongo Kabange | 17/09/2025

The SFC says Richard Heyes is responsible for a decade of serious internal control failures and dishonest practices in Citigroup Global Markets' Asia equities business.

Securities / Derivatives

Korea Exchange Opens 4th International Office in New York

By Nithya Subramanian | 16/09/2025

The new office is expected to expand the exchange's presence and attract global investors.

Securities / Derivatives

HKMA Revises Supervisory Guide on Visiting Finance Professionals

By Manesh Samtani | 16/09/2025

HKMA extends the permissible engagement period for itinerant professionals to 45 days and consolidates rules for fund depositaries.

Securities / Derivatives

Hong Kong Surpasses Family Office Target Ahead of Schedule

By Manesh Samtani | 16/09/2025

Hong Kong has attracted over 200 family offices since 2022, spurred by new tax concessions and investment schemes.

Securities / Derivatives

Vietnam Eases Foreign Investor Access in Push for Emerging Market Status

By Nithya Subramanian | 16/09/2025

A new government decree aims to cut listing timelines, expand foreign ownership, and align regulations with global standards to make the market more competitive.

Securities / Derivatives

CSRC Issues Revised Evaluation Framework for Futures Brokers

By Sanday Chongo Kabange | 15/09/2025

New CSRC evaluation system introduces specific penalties for misconduct and rewards firms for serving industrial clients and market-making activities.

Securities / Derivatives

SGX to Launch New Index Tracking Non-STI Companies

By Nithya Subramanian | 15/09/2025

MAS Deputy Chairman Chee Hong Tat said Singapore will also unveil a “value unlock” package later this year to spur listed companies to raise shareholder returns.

Enforcement

ANZ Agrees to A$240m Penalty for ‘Widespread Misconduct’

By Sanday Chongo Kabange | 15/09/2025

ASIC has detailed "grubby" and unconscionable conduct by ANZ in a government bond deal and multiple "disappointing" retail failures.

Securities / Derivatives

SEBI Simplifies Disclosure Rules for Portfolio Managers

By Nithya Subramanian | 15/09/2025

SEBI has introduced a simplified two-part disclosure format for portfolio managers, making updates easier for investors to track while easing compliance for the industry.