Financial Services Regulatory Update 2020/06/26

  • Hong Kong Securities and Futures Commission Publicly Criticizes CICC Financial Trading Limited and China International Capital Corporation Limited for Breaches of Takeovers Code
  • Hong Kong Securities and Futures Commission Reprimands and Fines Guotai Junan Securities (Hong Kong) Limited HK$25.2 million for Breaches Relating to Anti-Money Laundering and Other Regulatory Requirements
  • Hong Kong Securities and Futures Commission Bans Former Responsible Officer of Guosen Securities (HK) Brokerage Company, Limited for 12 Months for Failure to Discharge Duties as A Responsible Office and Senior Management Member
  • Hong Kong Exchanges and Clearing Limited to Launch New Sustainable and Green Exchange
  • U.S. Financial Regulators Modify Volcker Rule
  • U.S. Securities and Exchange Commission Charges Insurance Company and Former CFO With Faulty Loss Reserves Disclosures
  • U.S. Securities and Exchange Commission Emergency Action Halts Cryptocurrency Offering Fraud
  • U.S. Securities and Exchange Commission Charges Issuer, CEO, and Lobbyist with Defrauding Investors in AML BitCoin
  • Lenders Win Cayman Islands Court Order Seeking to Wind Down Entities Controlled by the Family of Luckin Coffee Inc. Chairman Lu Zhengyao
  • China Securities Regulatory Commission Releases Arrangements for the Reform of the ChiNext Board and the Pilot Project of the Registration-Based IPO System
  • Shenzhen Stock Exchange Optimizes the System of Continuous Regulatory Rules for the ChiNext Board
  • Shenzhen Stock Exchange News Spokesman Answers Questions from Reporters on Official Announcement of Supporting Business Rules for the Reform of the ChiNext Board and the Pilot Project of the Registration-based IPO System
  • Shenzhen Stock Exchange Releases the Integrated and Revised Business Guides for Listed Companies
  • Shanghai Stock Exchange Announces Methodology of SSE Composite Index to be Revised
  • Shanghai Stock Exchange Announces STAR 50 Index to be Launched
  • Monetary Authority of Singapore Consults on its Proposed Environmental Risk Management Guidelines for Financial Institutions
  • Financial Conduct Authority of the United Kingdom Reminds Crypto-asset Businesses to Register Before the End of June
  • Financial Conduct Authority of the United Kingdom Announces Proposals to Make Mini-bond Marketing Ban Permanent
  • Australian Securities and Investments Commission Releases Guidance on the Administration of Product Intervention Power
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Financial Services Regulatory Update 2020/06/12

  • Hong Kong Securities and Futures Commission Proposes Changes to The Code on Real Estate Investment Trusts
  • Hong Kong Securities and Futures Commission Concludes Consultation on Regulatory Scope and Competence Requirements of OTC Derivatives Licensing Regime
  • Hong Kong Securities and Futures Commission Bans Kwok Chau Mo for Nine Months for Circumventing Internal Control Policies
  • Hong Kong Court Convicts and Fines Former Director and Shareholder of Wonderful Wealth Group Limited for Unlicensed Activities
  • Hong Kong Securities and Futures Commission Reprimands and Fines Potomac Capital Limited HK$800,000 for Breaching Financial Resources Rules
  • Hong Kong Securities and Futures Commission Publicly Censures Fu Kwan for Breach of the Takeovers Code
  • U.S. Securities and Exchange Commission Awards Nearly US$50 Million to Whistleblower
  • U.S. Securities and Exchange Commission Charges Microcap Fraud Scheme Participants Attempting to Capitalize on the COVID-19 Pandemic
  • U.S. Securities and Exchange Commission Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims
  • U.S. Commodity Futures Trading Commission Unanimously Approves Final Rule Amendments to Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors
  • Shanghai Stock Exchange Further Improves First-day Trading Mechanism for Re-listing of Delisted Stocks
  • Shanghai Stock Exchange Releases Notice on Matters Concerning Red-chip Companies Applying for Issuance and Listing on SSE STAR Market
  • Shenzhen Stock Exchange Spokesperson Answers Questions from Reporters on Transitional Arrangements for Review of the Reform of the ChiNext Board and the Pilot Project of the Registration-based IPO System
  • Shenzhen Stock Exchange Issues Information Disclosure Guidelines on Transactions and Related Party Transactions
  • The Response of Monetary Authority of Singapore to Queries on Fund Flows
  • Financial Conduct Authority of the United Kingdom Confirms Guidance for Insurance Firms to Consider the Impact of Covid-19 on Insurance Products Value
  • Singapore Exchange Announces Launch of Singapore Single Stock Futures and Signs MSCI Singapore License Agreement
FS_Regulatory_Update_JML_20200612

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