Securities / Derivatives

    AML / KYC

    SFC Bans Former UBS Director for Life Over Money Laundering Conviction

    By Sanday Chongo Kabange | 03/09/2025

    The SFC has permanently barred Suen Kin-wing following convictions for laundering over HKD 134 million and breaching court injunctions.

    Securities / Derivatives

    SEBI Sets Intraday Position Limits for Equity Index Options

    By Editors | 03/09/2025

    SEBI will cap net intraday positions at INR 50 billion and mandate random monitoring by exchanges to curb speculation.

    Securities / Derivatives

    Taiwan Launches New Office to Promote Asian Asset Management Centre

    By Nithya Subramanian | 03/09/2025

    The AAMC Promotion Office will provide one-stop services for global firms and strengthen Taiwan's push to become a regional financial hub.

    Securities / Derivatives

    Bangladesh Regulators Take Action Against Underfunded Brokerages

    By Nithya Subramanian | 02/09/2025

    The BSEC has ordered DSE to act against two brokerage houses over serious net worth shortfalls, while BB moves to liquidate nine debt-ridden NBFIs.

    Fintech / Regtech

    Singapore Director Pleads Guilty to Multi-Million Dollar AI Trading Scam

    By Nithya Subramanian | 02/09/2025

    Ong Kai Min has pleaded guilty to cheating investors in a bogus AI trading scheme that raised nearly SGD 4 million, with funds diverted for personal and business use instead of trading as promised.

    Securities / Derivatives

    SHFE to Expand Scope of Products Available to Foreign Investors

    By Editors | 02/09/2025

    The move adds petroleum asphalt futures and three options contracts, continuing China's gradual opening of its derivatives markets.

    Enforcement

    SocGen Penalised in Australia for Market Gatekeeper Failures

    By Editors | 02/09/2025

    The penalty follows an ASIC probe into suspicious client orders designed to manipulate electricity and wheat futures markets.

    Securities / Derivatives

    HKEX to Enhance Margin Collateral Arrangements from 2 October

    By Manesh Samtani | 02/09/2025

    HKEX will align interest paid on cash collateral with overnight rates and halve fees for non-cash collateral.

    Securities / Derivatives

    Hong Kong Details Progress on Green Finance, ISSB Roadmap

    By Manesh Samtani | 01/09/2025

    Christopher Hui outlined Hong Kong's market leadership, a 2028 timeline for ISSB adoption, and plans for more tokenised government green bonds.

    Securities / Derivatives

    Taiwan FSC Details Widespread AML and Security Flaws at VASPs, Banks

    By Editors | 01/09/2025

    The FSC has published examination findings for H1 2025, revealing significant deficiencies in customer due diligence and cybersecurity.

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