{"id":165444,"date":"2025-03-31T06:09:55","date_gmt":"2025-03-31T06:09:55","guid":{"rendered":"https:\/\/peraltafinancing.com\/business\/finance\/regulatory-roundup-2025-iosco-review-assesses-market-surveillance-landscape\/"},"modified":"2025-03-31T06:09:55","modified_gmt":"2025-03-31T06:09:55","slug":"regulatory-roundup-2025-iosco-review-assesses-market-surveillance-landscape","status":"publish","type":"post","link":"https:\/\/fivemor.com\/?p=165444","title":{"rendered":"Regulatory Roundup: 2025 IOSCO Review Assesses Market Surveillance Landscape"},"content":{"rendered":"<p> <br \/>\n<\/p>\n<div>\n<p>As the report concludes, it acknowledges that while the challenges from 2013 are still being addressed, a new IOSCO workstream focused on Artificial Intelligence (AI) is emerging, signaling the next frontier in regulatory innovation.<\/p>\n<p>\u00a0<\/p>\n<hr\/>\n<h2 class=\"textblock-heading-md heading-common-style\"><strong>March Capital Markets Regulatory Updates<\/strong><\/h2>\n<p><strong>14 March:<\/strong> The <strong>SEC<\/strong> <a href=\"https:\/\/www.sec.gov\/newsroom\/press-releases\/2025-54\" target=\"_blank\" rel=\"noreferrer noopener\">announced<\/a> a six-month extension of the compliance dates for amendments adopted in September 2023 to the Investment Company Act \u201cNames Rule,\u201d which addresses fund names likely to mislead investors about a fund\u2019s investments and risks.<\/p>\n<p><strong>12 March:<\/strong> The <strong>International Organization of Securities Commissions (IOSCO) <\/strong><a href=\"https:\/\/www.iosco.org\/news\/pdf\/IOSCONEWS761.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">published<\/a> a new consultation report examining the increasing use of AI in capital markets, identifying five key findings related to decision-making processes, internal operations, risks, industry practices and regulatory responses.\u00a0<\/p>\n<p><strong>6 March:<\/strong> The <strong>Hong Kong Securities and Futures Commission (SFC)<\/strong> <a href=\"https:\/\/www.sfc.hk\/-\/media\/EN\/files\/COM\/QR-Reports\/202410-12\/0_SFC_Quarterly-Report_OctDec-2024_ENG.pdf?rev=f606fcbd22de49f1a77c4ef9eb8ecb5f\" target=\"_blank\" rel=\"noreferrer noopener\">released<\/a> its quarterly report, reporting strong market performance in 2024, Hong Kong-domiciled funds seeing 88% growth in net inflows and enhanced market connectivity.\u00a0<\/p>\n<p><strong>3 March:<\/strong> The <strong>SEC<\/strong>&#8216;s Crypto Task Force <a href=\"https:\/\/www.sec.gov\/newsroom\/press-releases\/2025-51\" target=\"_blank\" rel=\"noreferrer noopener\">announced<\/a> a series of public roundtables called &#8220;Spring Sprint Toward Crypto Clarity,&#8221; beginning March 21st with a discussion on defining security status in crypto assets.\u00a0<\/p>\n<p><strong>1 March:<\/strong> The <strong>Securities and Exchange Board of India (SEBI)<\/strong> <a href=\"https:\/\/www.sebi.gov.in\/media-and-notifications\/press-releases\/mar-2025\/shri-tuhin-kanta-pandey-takes-charge-as-chairman-sebi_92392.html\" target=\"_blank\" rel=\"noreferrer noopener\">appointed<\/a> Shri Tuhin Kanta Pandey as Chairman of the regulatory body. Shri Pandey brings over three decades of expertise in various government roles and economic sectors.\u00a0<\/p>\n<p><strong>27 February:<\/strong> The <strong>SEC<\/strong>&#8216;s Division of Corporation Finance <a href=\"https:\/\/www.sec.gov\/newsroom\/speeches-statements\/staff-statement-meme-coins\" target=\"_blank\" rel=\"noreferrer noopener\">determined<\/a> that &#8220;meme coins,&#8221; which are crypto assets inspired by internet memes and typically purchased for entertainment purposes without functional utility, do not qualify as securities under federal securities laws and therefore don&#8217;t require SEC registration.\u00a0<\/p>\n<p><strong>27 February:<\/strong> The <strong>SFC <\/strong><a href=\"https:\/\/apps.sfc.hk\/edistributionWeb\/gateway\/EN\/news-and-announcements\/news\/doc?refNo=25PR25\" target=\"_blank\" rel=\"noreferrer noopener\">proposed<\/a> increasing position limits for three major Hong Kong exchange-traded derivatives to enhance market flexibility and competitiveness.\u00a0<\/p>\n<p><strong>25 February:<\/strong> The <strong>CFTC<\/strong>&#8216;s Division of Enforcement <a href=\"https:\/\/www.cftc.gov\/PressRoom\/PressReleases\/9054-25\" target=\"_blank\" rel=\"noreferrer noopener\">introduced<\/a> a new matrix system to evaluate and reward companies&#8217; self-reporting and cooperation efforts, offering penalty reductions up to 55%.<\/p>\n<p>\u00a0<\/p>\n<hr\/>\n<h2 class=\"textblock-heading-md heading-common-style\"><strong>Latest Enforcement Actions and Fines<\/strong><\/h2>\n<ul>\n<li>The <strong>Financial Industry Regulatory Authority (FINRA)<\/strong> <a href=\"https:\/\/www.finra.org\/media-center\/newsreleases\/2025\/finra-orders-robinhood-financial-pay-375-million-restitution\" target=\"_blank\" rel=\"noreferrer noopener\">fined<\/a> Robinhood Financial and Robinhood Securities a total of$29.75 million for multiple regulatory violations, including inadequate supervision of clearing technology system, anti-money laundering failures, and misleading communications by social media influencers.<\/li>\n<\/ul>\n<div>\n<ul role=\"list\">\n<li data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" aria-setsize=\"-1\" data-aria-posinset=\"2\" data-aria-level=\"1\" role=\"listitem\">\n<p paraid=\"1825256719\" paraeid=\"{2dbbb445-d86a-4218-8476-61af2a3ab9bb}{26}\">Turkish authorities <a href=\"https:\/\/www.bloomberg.com\/news\/articles\/2025-03-04\/turkey-detains-17-in-stock-market-slump-probe-ntv-reports\" target=\"_blank\" rel=\"noreferrer noopener\">detained<\/a> 17 people suspected of market manipulation and causing unusual movements in Istanbul&#8217;s stock market, following an investigation into artificial fluctuations observed on February 21st when the BIST 100 Index fell 3.4%.\u00a0<\/p>\n<\/li>\n<\/ul>\n<\/div>\n<div>\n<ul role=\"list\">\n<li data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" aria-setsize=\"-1\" data-aria-posinset=\"3\" data-aria-level=\"1\" role=\"listitem\">\n<p paraid=\"1043237514\" paraeid=\"{2dbbb445-d86a-4218-8476-61af2a3ab9bb}{41}\">An individual was <a href=\"https:\/\/www.fca.org.uk\/news\/press-releases\/olumide-osunkoya-sentenced-4-years-illegally-operating-crypto-atm-network\" target=\"_blank\" rel=\"noreferrer noopener\">sentenced<\/a> for illegally operating crypto ATMs in the U.K. without <strong>Financial Conduct Authority (FCA)<\/strong> registration, using false identities and forged documents, marking the U.K.&#8217;s first criminal sentencing for unregistered crypto activity.\u00a0<\/p>\n<\/li>\n<\/ul>\n<\/div>\n<div>\n<ul role=\"list\">\n<li data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" aria-setsize=\"-1\" data-aria-posinset=\"4\" data-aria-level=\"1\" role=\"listitem\">\n<p paraid=\"818052934\" paraeid=\"{2dbbb445-d86a-4218-8476-61af2a3ab9bb}{64}\">An Australian man was <a href=\"https:\/\/asic.gov.au\/about-asic\/news-centre\/find-a-media-release\/2025-releases\/25-039mr-victorian-man-charged-over-alleged-market-manipulation\/\" target=\"_blank\" rel=\"noreferrer noopener\">charged<\/a> with creating a false appearance of active trading through 679 &#8220;wash trades&#8221; across three companies between August 2022 and January 2024, facing a maximum penalty of 15 years of imprisonment.\u00a0<\/p>\n<\/li>\n<\/ul>\n<\/div>\n<div>\n<ul role=\"list\">\n<li data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" aria-setsize=\"-1\" data-aria-posinset=\"5\" data-aria-level=\"1\" role=\"listitem\">\n<p paraid=\"1768771221\" paraeid=\"{2dbbb445-d86a-4218-8476-61af2a3ab9bb}{75}\">The South Korean <strong>Financial Supervisory Service (FSS)<\/strong> is <a href=\"https:\/\/alphabiz.co.kr\/news\/view\/1065570467181384\" target=\"_blank\" rel=\"noreferrer noopener\">investigating<\/a> South Korea&#8217;s second-largest law firm, Lee &amp; Ko, after IT staff allegedly leaked confidential information about Samsung Electronics&#8217; investments in Rainbow Robotics and other companies&#8217; financial details, leading to illegal stock trading profits.\u00a0<\/p>\n<\/li>\n<\/ul>\n<\/div>\n<div>\n<ul role=\"list\">\n<li data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:720,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" aria-setsize=\"-1\" data-aria-posinset=\"6\" data-aria-level=\"1\" role=\"listitem\">\n<p paraid=\"1578461104\" paraeid=\"{2dbbb445-d86a-4218-8476-61af2a3ab9bb}{96}\">The <strong>FSS <\/strong>is <a href=\"https:\/\/biz.chosun.com\/en\/en-finance\/2025\/03\/05\/QT7HOVYSLVAQFFN6RZEEG75EXU\/\" target=\"_blank\" rel=\"noreferrer noopener\">investigating<\/a> potential stock price manipulation at SAMBU Construction after the head of the FSS revealed that major shareholders had gained profits exceeding 10 billion won following the company&#8217;s involvement in Ukraine&#8217;s reconstruction efforts.\u00a0<\/p>\n<\/li>\n<\/ul>\n<\/div>\n<div>\n<p paraid=\"595303325\" paraeid=\"{2dbbb445-d86a-4218-8476-61af2a3ab9bb}{123}\">\u00a0<\/p>\n<hr\/>\n<div>\n<h2 class=\"textblock-heading-md heading-common-style\">Related Content<\/h2>\n<p><a href=\"https:\/\/www.nasdaq.com\/newsroom\/modernization-and-ai-dominate-discussion-nasdaq-market-structure-seminar\" target=\"_blank\" rel=\"noreferrer noopener\"><strong>Modernization and AI Dominate the Discussion at Nasdaq Market Structure Seminar<\/strong><\/a><\/p>\n<p>Nasdaq&#8217;s Market Structure Seminar brought together financial industry leaders to explore emerging trends in market infrastructure, with a focus on artificial intelligence, regulatory adaptation and technological innovation as critical drivers of future market evolution.<\/p>\n<p><a href=\"https:\/\/www.nasdaq.com\/solutions\/fintech\/resources\/reports\/nasdaq-global-compliance-survey\" target=\"_blank\" rel=\"noreferrer noopener\"><strong>2024 Nasdaq Global Compliance Survey<\/strong><\/a><\/p>\n<p>In collaboration with Chartis Research, Nasdaq surveyed 94 compliance professionals to determine their top challenges in the year ahead, the role of emerging technologies, the power of data scientists and technology staff and the trends of regulatory-focused investments.<\/p>\n<p><a href=\"https:\/\/www.nasdaq.com\/articles\/fintech\/nasdaq-places-5-in-the-chartis-risktech100-2025\" target=\"_blank\" rel=\"noreferrer noopener\"><strong>Nasdaq Places #5 in the Chartis RiskTech100\u00ae 2025<\/strong><\/a><\/p>\n<p>Today&#8217;s volatile business environment shaped by incessant macroeconomic challenges, the convergence of technology advancements, evolving and accelerating regulatory initiatives and stringent capital requirements, demands effective risk management solutions. Learn more about the solutions behind the rankings.<\/p>\n<\/div>\n<\/div><\/div>\n\n","protected":false},"excerpt":{"rendered":"<p>As the report concludes, it acknowledges that while the challenges from 2013 are still being addressed, a new IOSCO workstream focused on Artificial Intelligence (AI) is emerging, signaling the next frontier in regulatory innovation. \u00a0 March Capital Markets Regulatory Updates 14 March: The SEC announced a six-month extension of the compliance dates for amendments adopted [&hellip;]<\/p>\n","protected":false},"author":1,"featured_media":119812,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[93],"tags":[67029,67028,7490,11209,15894,3749,4098,4379],"dealstore":[],"offerexpiration":[],"class_list":["post-165444","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-finance","tag-assesses","tag-iosco","tag-landscape","tag-market","tag-regulatory","tag-review","tag-roundup","tag-surveillance"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.4 - 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