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Legal, Regulation & Compliance

11/11/2025

SEC revises knowledge and suitability testing requirements for digital token investors

Previously, the SEC proposed amendments to regulations governing communication and service provisions by ICO portals, specifically regarding the knowledge test and suitability test for digital token investors.

11/11/2025

SEC revises knowledge and suitability testing requirements for digital token investors

The SEC has revised regulations for ICO portals, reducing the investment knowledge test requirements and introducing mandatory biennial suitability assessments for digital token investors, set to take effect on November 16, 2025.

11/07/2025

ASIC issues new regulatory guide for exchange-traded product issuers

The general obligations that apply to market operators that admit ETPs

10/29/2025

SFC and Québec’s AMF enhance regulatory cooperation on supervision of cross-border investment management activity

The two sides entered into the MoU on the sidelines of the Board Meeting of the International Organization of Securities Commissions in Madrid, Spain, today.

10/28/2025

Launch of Government Initiatives to Support the Development of High-Integrity Carbon Markets

The introduction of a new Financial Sector Carbon Market Development Grant to support financial institutions’ participation in carbon markets.

10/28/2025

ASIC secures interim court orders barring Ferras Merhi from financial services activities

This outcome forms part of ASIC’s ongoing investigations into the Shield Master Fund and First Guardian Master Fund.

10/24/2025

SFC proposes to enhance Hong Kong’s retail fund code to bolster global competitiveness

These enhancements reflect the SFC’s firm commitment to advancing the public fund market through robust regulations

10/22/2025

Queensland director sentenced for making a false or misleading statement to ASIC

Mr Greyling was aware of the debt prior to submitting the Form 6010.

10/21/2025

Japan and the UK: Shared growth, shared future | FCA

The UK has loved seeing His Excellency Hiroshi Suzuki, Japanese Ambassador to the UK, bringing Paddington everywhere from London to Nagoya – via Shinkansen, no less.

10/20/2025

ASIC consults on extending relief for litigation funding arrangements and conditional costs schemes

These instruments are due to expire on 31 January 2026.

10/17/2025

Former Statewide Super executives acquitted

This month, both Netting and Eastwood were acquitted of all charges following a trial in the District Court of South Australia.

10/15/2025

U.S. and U.K. Take Largest Action Ever Targeting Cybercriminal Networks in Southeast Asia

Treasury Designates One Scam Network As A Transnational Criminal Organization; Cuts Another Off from U.S. Financial System

10/14/2025

Appleby Celebrates the Official Launch of Its Shenzhen Office

The Shenzhen office will complement Appleby’s Shanghai presence, enabling the firm to offer seamless, locally embedded legal services to clients throughout mainland China and beyond.

10/09/2025

ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies

CPS has the right to appeal to the Administrative Review Tribunal for a review of ASIC's decision.

10/02/2025

Singapore Strengthens Position as Third Largest Global FX Centre

Singapore strengthened its position as the third largest FX centre in the world, after the UK and the US, with its share of global FX volumes rising to 11.8% in April 2025, from 9.5% in April 2022.

09/30/2025

MAS and Industry Partners Publish Technical Report on Proof-of-Concept Sandbox for Quantum-Safe Communications within the Financial Sector

The sandbox also provided insights into the benefits and limitations of QKD solutions

09/24/2025

MAS and CSRC hold 9th Roundtable to Strengthen Market Connectivity

By learning from each other’s experiences, we are better placed to anticipate and manage risks, and support high-quality growth in our capital markets.

09/24/2025

David Paul Hodgson disqualified for unlicensed financial services and misleading statements

ASIC Deputy Chair Sarah Court said, ‘This type of misconduct undermines trust and confidence in Australia’s financial services.

09/23/2025

FNZ class action lawsuit loses only institutional backer

At the heart of the dispute are changes to FNZ’s constitution and a series of board decisions said to favour institutional and private equity stakeholders.

09/23/2025

Statement on Deputy Chair Margaret Cole

APRA Chair John Lonsdale said Ms Cole had made an outstanding contribution to APRA since she joined in 2021.

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