Securities / Derivatives

Securities / Derivatives

Thailand SEC Proposes to Classify Funders as Major Shareholders

By Mark Johnston | 11/04/2026

The proposal would extend regulatory approval requirements to the financial backers of major shareholders in securities and digital asset firms.

Enforcement

SFC Fines Asset Manager HKD 2 Million Over Staff Trading Failures

By Sanday Chongo Kabange | 11/04/2026

Impression Investment Limited and its former responsible officer were sanctioned for internal control deficiencies and personal account dealing breaches.

Securities / Derivatives

SEBI Mandates System-Level Lock-In for Pledged Shares

By Nithya Subramanian | 10/04/2026

SEBI has operationalised a framework requiring depositories to mark pledged shares as 'non-transferable' to enforce IPO lock-in rules.

Enforcement

Trip.com Faces US Class Action Over China Antitrust Probe

By Mark Johnston | 10/04/2026

A securities fraud lawsuit alleges the online travel giant misled investors about regulatory risks from its monopolistic practices in China.

Securities / Derivatives

FTSE Russell Confirms Vietnam’s Emerging Market Upgrade

By Nithya Subramanian | 10/04/2026

The reclassification, effective from September, follows key regulatory reforms including the removal of pre-funding requirements for foreign institutional investors.

ESG / Sustainability

Singapore Sees Improved Climate Reporting Ahead of ISSB Shift

By Nithya Subramanian | 10/04/2026

A new review shows more SGX-listed firms are making TCFD disclosures, though full compliance varies ahead of mandatory ISSB adoption.

Securities / Derivatives

Thailand SEC Unveils Sweeping Measures to Curb Illicit Funds

By Sanday Chongo Kabange | 10/04/2026

The SEC is enhancing KYC, digital asset oversight, and shareholder scrutiny in a national agenda to combat mule accounts and investment scams.

Securities / Derivatives

Taiwan Eases Rules for Securities Firms’ High-Net-Worth Business

By Nithya Subramanian | 10/04/2026

The FSC has amended rules for securities firms to expand their wealth management offerings, aiming to become an Asian asset management centre.

Securities / Derivatives

China Clarifies Short-Swing Trading Rules and Application Process for Foreign Funds

By Mark Johnston | 09/04/2026

New CSRC provisions and exchange circulars clarify per-product calculations, exemptions, and the specific steps for overseas managers to apply.