Autorité des Marchés Financiers Launches a Public Consultation on the Conditions for Implementing Squeeze-outs and Fairness Opinions in the Context of Public Offers
Australian Securities and Investments Commission Makes Product Intervention Order Banning Short Term Lending Model to Protect Consumers from Predatory Lending
Canadian Securities Administrators Proposes Eight Initiatives to Reduce Regulatory Burden for Investment Funds
European Union Financial Regulators Highlights the Risks as Potential Sources of Instability
Financial Conduct Authority of the United Kingdom Steps up Efforts to Ensure Firms are Getting Ready for a No-Deal Brexit
Insurance Authority of Hong Kong Starts Direct Regulation of Insurance Intermediaries
East Asia-Pacific Central Banks Publishes Report “Study on the Implications of Financial Benchmark Reforms”
Hong Kong Monetary Authority and Bank for International Settlements Sign Operational Agreement on the BIS Innovation Hub Centre in Hong Kong SAR
The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Mr Xiang Liang, Former Executive Director of China Environmental Energy Investment Limited for Breaching the Settlement Agreement and the Committee’s Direction
The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Pacific Andes International Holdings Limited Cancellation of Listing
SmarTone Mobile Communications Limited is Convicted of Direct Marketing Offense Stemming from a Complaint Received by the Office of the Privacy Commissioner for Personal Data, Hong Kong
U.S. Securities and Exchange Commission Charges Prudential Subsidiaries for Misleading Funds Generating Tens of Millions in Tax Benefits for Prudential Financial Inc.
Three Raymond James Entities Agrees to Pay US$15 Million to Settle U.S. Securities and Exchange Commission Charge for Improperly Charging Retail Investors
U.S. Securities and Exchange Commission Charges PricewaterhouseCoopers LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct
U.S. Securities and Exchange Commission Adopts New Rules and Amendments under Title VII of Dodd-Frank Act
Stock Exchange of Thailand Signs Memorandum of Understanding with Electricity Generating Authority of Thailand to Foster Wholesale Electricity Market
Hong Kong Securities and Futures Commission Bans Ye Feng for Life
Hong Kong Securities and Futures Commission Obtains Disqualification Order against Former Executive Director of Life Healthcare Group Limited
Hong Kong Securities and Futures Commission Commences Market Misconduct Tribunal Proceedings over Alleged Insider Dealing in Meadville Holdings Limited Shares
Hong Kong Securities and Futures Commission’s New Guidelines for Securities Margin Financing Activities Will Take Effect on October 4, 2019
Shenzhen Stock Exchange and Budapest Stock Exchange Sign a Memorandum of Understanding on Cooperation
Shenzhen Stock Exchange Bond Market Steadily Promotes the Securitization of Intellectual Property Rights
World Federation of Exchanges Highlights Competitive Issues to European Securities and Markets Authority Regarding Market Data & Consolidated Tape
China Lifts Investment Quota Restrictions for QFII, RQFII Amid Financial Opening-Up
Hong Kong Exchanges and Clearing Limited Publishes Statement Regarding Possible Offer for London Stock Exchange Group plc
Hong Kong Securities and Futures Commission Reprimands and Fines The Hongkong and Shanghai Banking Corporation Limited HK$2.1 Million for Breaching Telephone Recording Requirements
Hong Kong Securities and Futures Commission Bans Jacky Cheung Chiu Hung for Two Years
Hong Kong Monetary Authority Reminds the Public to Protect Sensitive Personal Information
Singapore Exchange Deepens Cooperation with Chongqing Bureau to Promote Capital Flows and Facilitate Fundraising for Central and Western China Enterprises
Monetary Authority of Singapore Invites Applications for New Digital Bank Licenses
People’s Bank of China Releases FinTech Development Plan (2019-2021)
Abu Dhabi Global Market Publishes Detailed Guidance on Digital Securities
China Releases “Implementation Measures for Business of Non-public Issuance of Convertible Corporate Bonds by Non-Listed Companies
Crypto Operators Should Prepare for De Nederlandsche Bank Supervision
Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Launch of Key Risk Indicator Platform
Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations in relation to the Reporting of OTC Derivatives Transactions to Hong Kong Monetary Authority Trade Repository – Revised Technical Specifications
Hong Kong Monetary Authority Issues Circular on Guidelines on Credit Risk Management for Personal Lending Business
HKMC Insurance Limited Announces New Relief Measure for 80% Guarantee Product
Hong Kong Exchanges and Clearing Limited Launches Indian Rupee Currency Futures
Hong Kong Exchanges and Clearing Limited Invests in Data Technology Firm
Hong Kong Exchanges and Clearing Limited Signs Memorandum of Understanding with Ping An Insurance Group
The Listing Committee of The Stock Exchange of Hong Kong Limited Censures Shandong Molong Petroleum Machinery Company Limited and Censures or Criticizes a Number of Its Former Directors for Breaching the Exchange Listing Rules and/or the Director’s Undertaking; and Censures a Number of Its Former Supervisors for Breaching he Supervisor’s Undertaking
Insurance Authority of Hong Kong Publishes Consultation Conclusions on Codes of Conduct for Licensed Insurance Agents and Licensed Insurance Brokers
U.S. Securities and Exchange Commission Charges Bitqyck Inc. and its Founders with Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange
U.S. Securities and Exchange Commission and Commodity Futures Trading Commission Charge Options Clearing Corporation with Failing to Establish and Maintain Adequate Risk Management Policies
European Securities and Markets Authority Strengthens Liquidity Stress Tests for Investment Funds
Australian Securities and Investments Commission Research Highlights the Importance of Reforms for Mortgage Brokers and Home Lending
Australian Securities and Investments Commission Sues 2 Banks for Use of Unfair Contract Terms
Australian Securities and Investments Commission Extends Relief for Foreign Financial Services Providers
Shanghai Stock Exchange Reports on Recent Operation of Listed Companies
Shanghai Stock Exchange Answers Questions on “SSE Rules for Review of Major Assets Reorganization of Listed Companies on SSE STAR Market (Draft)”
First Batch of Commodity Futures ETFs will be Listed on Shenzhen Stock Exchange
Shenzhen Stock Exchange and Korea Exchange Sign a Memorandum on Cooperation in Market Regulation and Research
Shenzhen Stock Exchange Bond Market Actively Serves the Construction of the Guangdong-Hong Kong-Macao Greater Bay Area
Japan Osaka Exchange Imposes Disciplinary Action against Citigroup Global Markets Japan Inc.
Royal Bank of Canada and Toronto-Dominion Bank Pays More Than CAD24 Million to Settle Ontario Securities Commission of Canada’s Charges for Foreign Exchange Compliance Failings
Malta Financial Services Authority Publishes its Strategic Plan 2019 – 2021
Stock Exchange of Thailand Signs Memorandum of Understanding with International Finance Corporation to Drive Thailand Capital Market towards Sustainable Development