- Australian Securities and Investments Commission Releases Report on Director and Officer Oversight of Non-financial Risk
- European Banking Authority Consults on its Proposals to Create a Simple, Transparent and Standardized Framework for Synthetic Securitization
- Financial Conduct Authority of the United Kingdom Confirms New Rules for Certain Open-Ended Funds Investing in Inherently Illiquid Assets
- Financial Conduct Authority of the United Kingdom Updates its Directions under the Temporary Transitional Power
- Swiss Financial Market Supervisory Authority Finds HNA Group in Breach of Disclosure Obligations
- New Zealand Financial Markets Authority Seeks Feedback on Responsible Investment Products
- Hong Kong Exchanges and Clearing Limited Expands Coverage of Closing Auction Session for its Securities Market
- Hong Kong Exchanges and Clearing Limited Publishes Announcement not to proceed with the Offer for London Stock Exchange Group PLC
- Hong Kong Insurance Authority Authorizes First Non-life Virtual Insurer under Fast Track
- The Stock Exchange of Hong Kong Limited Updates Guidance Materials
- The Listing Committee of The Stock Exchange of Hong Kong Limited Criticizes Yashili International Holdings Limited for Breaching the Listing Rules
- Two Automakers Pay US$40 Million to Settle U.S. Securities and Exchange Commission Charges for Misleading Investors
- Herbalife Nutrition Ltd. Pays US$20 Million to Settle U.S. Securities and Exchange Commission Charges for Misleading Investors
- U.S. Securities and Exchange Commission Orders Blockchain Company to Pay US$24 Million Penalty for Unregistered Initial Coin Offering of Digital Tokens
- U.S. Securities and Exchange Commission Adopts New Rule to Allow All Issuers to “Test-the-Waters”
- U.S. Securities and Exchange Commission Announces to Simplify Volcker Rule
- Hong Kong Securities and Futures Commission Bans a Former Licensed Representative of Sun Hung Kai Investment Services Limited for 30 Months
- Hong Kong Securities and Futures Commission Reprimands and Fines SEAVI Advent Ocean Private Equity Limited HK$1 Million
- Hong Kong Securities and Futures Commission Seeks Disqualification Orders against Former Chairman and Executive Directors of Inno-Tech Holdings Limited
- Hong Kong Securities and Futures Commission Concludes Consultation on the Enhanced Investor Compensation Regime
- Hong Kong Securities and Futures Commission Issues Circular on Terms and Conditions for Licensed Corporations which Manage Portfolios that Invest in Virtual Assets
- Hong Kong Securities and Futures Commission Seeks Compensation and Disqualification orders against Perfect Optronics Limited’s Chairman and Board Members
- Hong Kong Securities and Futures Commission Proposes to Regulate Trustees and Custodians of Public Funds
- Hong Kong Securities and Futures Commission Issues Restriction Notices to a Broker to Freeze Client Accounts Related to a Corporate Officer’s Suspected Breach of Duties
- Hong Kong Securities and Futures Commission Releases Frequently Asked Questions on its Guidelines for Securities Margin Financing Activities
- Hong Kong Securities and Futures Commission Takeovers and Mergers Panel does not Permit Broadford Global Limited to Deduct Dividend from Offer Price
- Shenzhen Stock Exchange Revises ETF Implementation Rules to Promote Sound Development of its ETF Market
FS_Regulatory_Update_JML_20191011
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