- Hong Kong Securities and Futures Commission Publishes Issue No.52 Takeovers Bulletin
- Hong Kong Securities and Futures Commission Issues Restriction Notice to Agg. Asset Management Limited
- Hong Kong Securities and Futures Commission and The Stock Exchange of Hong Kong Limited (the Exchange) Issued Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent
- Hong Kong Securities and Futures Commission Reprimands and Fines HSBC Investment Funds (Hong Kong) Limited and HSBC Global Asset Management (Hong Kong) Limited HK$3.5 million for Regulatory Breaches Over Funds’ Cash Management
- Hong Kong Securities and Futures Commission, Hong Kong Exchanges and Clearing Limited and the Federation of Share Registrars Limited Release Joint Consultation Conclusions on the Model for an Uncertificated Securities Market
- Hong Kong Securities and Futures Commission Scrutinizes Leveraged Foreign Exchange Trading
- Notice Issued under Section 2 of Schedule 2 of the Hong Kong Competition Ordinance regarding the Competition Commission of Hong Kong’s Proposal to Accept Commitments in Online Travel Agents Case
- China Securities Regulatory Commission Pays Close Attention to Luckin Coffee Inc.’s Financial Fraud
- U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS
- U.S. Securities and Exchange Commission Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds
- U.S. Securities and Exchange Commission Provides Temporary and Conditional Relief for Business Development Companies Making Investments in Small and Medium-sized Businesses
- U.S. Securities and Exchange Commission Enhances Standards for Critical Market Infrastructure
- Shenzhen Stock Exchange Refines Arrangements on Postponement of Disclosure of Annual Reports
- Shanghai Stock Exchange Implements Arrangements for Extending Disclosure of Annual Reports to Strengthen and Enhance All-round Service for Listed Companies
- Shenzhen Stock Exchange Signs Memorandum of Understanding with Bursa Malaysia to Further Explore Areas and Channels of Cross-border Collaboration
- U.S. Commodity Futures Trading Commission Charges Florida Man and His Companies in Fraudulent Forex and Digital Asset Scheme
- The Monetary Authority of Singapore Takes Regulatory and Supervisory Measures to Help Financial Institutions Focus on Supporting Customers
- Australian Securities and Investments Commission Updates Guidance on Internal Market Making
- Details of Changes to Australian Securities and Investments Commission Regulatory Work and Priorities in Light of COVID-19
- The European Commission Provides “Temporary Framework Communication” to Guide on Allowing Limited Cooperation Among Businesses in Response to Urgent Situations Related to Current Coronavirus Outbreak
Month: April 2020
Financial Services Regulatory Update 2020/04/03
- Hong Kong Market Misconduct Tribunal Finds Magic Holdings International Limited and Its Directors Culpable of Late Disclosure of Inside Information
- Hong Kong Securities and Futures Commission Issues Guidance to Fund Industry Amidst COVID-19 Outbreak
- Hong Kong Securities and Futures Commission Extends Three Deadlines for Implementation of Regulatory Expectations and Issues Reminder of Order Recording Requirements under COVID-19 Pandemic
- The Hong Kong Monetary Authority and Hong Kong Securities and Futures Commission Issues Consultation on Annual Update to the List of Financial Services Providers under the OTC Derivatives Regulatory Regime
- The Hong Kong Monetary Authority Publishes A Study of the Impact of Future Initial Public Offerings on Hong Kong Inter-bank Offered Rate
- Hong Kong Securities and Futures Commission Sanctions China Rise Securities Asset Management Company Limited’s Former Responsible Officers
- Hong Kong Securities and Futures Commission Bans Mo Shau Wah for Life
- Hong Kong Exchanges and Clearing Limited Welcomes Its First Listing of Iron Ore Futures ETF
- Survey Conducted by Hong Kong Exchanges and Clearing Limited Finds Significant Growth in Hong Kong Derivatives Market
- U.S. Commodity Futures Trading Commission Issues Final Interpretive Guidance on Actual Delivery for Digital Assets
- U.S. Securities and Exchange Commission Charges Unregistered Penny Stock Dealer
- U.S. Securities and Exchange Commission Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19)
- U.S. Securities and Exchange Commission Provides Temporary Flexibility to Registered Investment Companies Affected by Coronavirus Disease 2019 (COVID-19) with Permission to Use Additional Funding and Other Tools to Manage Portfolios for the Benefit of Investors
- U.S. Securities and Exchange Commission Extends Conditional Exemptions from Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected by Coronavirus Disease 2019 (COVID-19)
- U.S. Securities and Exchange Commission Provides Additional Temporary Regulatory Relief in Terms of Filing Obligations to Market Participants Affected by Coronavirus Disease 2019 (COVID-19)
- China Securities Regulatory Commission Presents Confidence in the Continuing Reform and Opening-up of Chinese Capital Market
- Shanghai Stock Exchange Issues Interim Provisions on Application and Recommendation of Enterprises for Issuance and Listing on STAR Market
- Shenzhen Stock Exchange Stresses the Responsibilities of Intermediaries in Sustaining a Favorable Ecosystem of Bond Market
- The European Commission Prolongs the Validity of Block Exemption for Liner Shipping Consortia to April 25, 2024
- The European Commission Amends Short-term Export-credit Insurance Communication in Light of Economic Impact of Coronavirus Outbreak
- Australian Securities and Investments Commission Facilitating Capital Raisings to Assist Companies Need to Raise Funds from Investors Urgently during COVID-19 Period
- Comments by Monetary Authority of Singapore on Covid-19 (Temporary Measures) Bill
- The Competition Commission of Hong Kong Takes Textbook Cartel Case to the Hong Kong Competition Tribunal
- The Competition Commission of Hong Kong Issues Statement Regarding the COVID-19 Outbreak
- The Privacy Commissioner of Hong Kong issues COVID-19 Pandemic Guidelines for Employers and Employees