Financial Services Regulatory Update 2019/10/25

  • Highlights of Speech by Ms. Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of Hong Kong Securities & Futures Commission at Hong Kong Conference 2019: IPO Sponsors and Regulations
  • The Stock Exchange of Hong Kong Limited Announces the Effective Date of Unwinding the Delegated Authority to Approve GEM Listing Applications and Publishes Related Changes to GEM Listing Rules
  • People’s Bank of China and State Administration of Foreign Exchange Further Facilitate Investment by Overseas Institutional Investors in the Interbank Bond Market
  • The Stock Exchange of Hong Kong Limited Issues Announcement in Relation to the Matter of Changgang Dunxin Enterprise Company Limited Cancellation of Listing
  • U.S. Securities and Exchange Commission Halts Alleged US$1.7 Billion Unregistered Digital Token Offering
  • U.S. Securities and Exchange Commission Charges 18 Traders in US$31 Million Stock Manipulation Scheme
  • U.S. Securities and Exchange Commission Proposes Amendments to Exemptive Applications Procedures
  • Financial Conduct Authority of the United Kingdom Sets out Latest Expectations for Firms on Brexit
  • Financial Conduct Authority of United Kingdom Fines Tullett Prebon (Europe) Limited £15.4 million
  • Financial Conduct Authority of United Kingdom Acts to Protect Those Buying Motor Finance
  • Financial Conduct Authority of United Kingdom Announces Future Work on Climate Change and Green Finance
  • European Securities and Markets Authority Adopts Market Abuse Regulation Standards on Supervisory Cooperation
  • Shanghai Stock Exchange Amends, Optimizes Rules on Disciplinary Sanction, Review & Hearing
  • Shanghai Stock Exchange Answers Questions on the Calculation of the Upper Limit of Overseas Securities Institutions’ Domestic Asset Balance under Shanghai-London Stock Connect
  • China Ministry of Natural Resources and Shenzhen Stock Exchange Sign Strategic Cooperation Framework Agreement
  • European Securities and Markets Authority and Australian Securities and Investments Commission Co-operate on Benchmarks
  • Australian Securities and Investments Commission Publishes Report on Effectiveness of Disclosure Reliance
  • Australian Securities and Investments Commission Provides Relief from Financial Adviser Compliance Scheme Obligations
  • Singapore Exchange Regulation Strengthens Cooperation with Singapore Institute of Surveyors and Valuers
  • New initiatives Facilitate Expansion of Financial Institutions in China and Singapore in Each Other’s Markets
  • Monetary Authority of Singapore and China Banking and Insurance Regulatory Commission Enhance Supervisory Cooperation
  • Hong Kong Securities and Futures Commission Commences Insider Dealing Prosecution against a Former Staff of Hong Kong Television Network Limited
  • U.S. Internal Revenue Service Issues Additional Guidance on Tax Treatment involving Virtual Currency
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Financial Services Regulatory Update 2019/10/11

  • 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

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