Financial Services Regulatory Update 2020/08/21

  • The Stock Exchange of Hong Kong Limited Issues Consultation Paper on Review of Listing Rules relating to Disciplinary Powers and Sanctions
  • The Stock Exchange of Hong Kong Limited Issues Consultation Conclusions on Review of Chapter 37 (Debt Issues to Professional Investors Only) and Guidance on Disclosures in Listing Documents and Continuing Obligations under Chapter 37 (Debt Issues to Professional Investors Only)
  • Hong Kong Exchanges and Clearing Limited Launches New Products and Microstructure Enhancements to Its MSCI Index Derivatives Suite
  • Hong Kong Securities and Futures Commission Issues Quarterly Report
  • Hong Kong Securities and Futures Commission Statement on Sanctions Imposed by the U.S. Government
  • Hong Kong Securities and Futures Commission Issues Restriction Notices to Two Brokers to Freeze Client Accounts Linked to Suspected Market Manipulation
  • Hong Kong Securities and Futures Commission Issues Statement on Next Digital Limited
  • Hong Kong Securities and Futures Commission Commences Criminal Prosecution on Market Manipulation of Shares of Ching Lee Holdings Limited
  • U.S. Commodity Futures Trading Commission Unanimously Approves Proposals Amending Margin Requirements for Swap Dealers and Major Swap Participants
  • U.S. Commodity Futures Trading Commission Orders The Bank of Nova Scotia to Pay US$127.4 Million for Spoofing, False Statements, Compliance and Supervision Violations
  • U.S. Commodity Futures Trading Commission Orders Interactive Brokers LLC to Pay More Than US$12 Million for Anti-Money Laundering and Supervision Violations
  • U.S. Securities and Exchange Commission Charges Issuer and CEO With Misrepresenting Platform Technology in Fraudulent ICO
  • U.S. Securities and Exchange Commission Charges Hertz’s Former CEO With Aiding and Abetting Company’s Financial Reporting and Disclosure Violations
  • U.S. Securities and Exchange Commission Adopts Requirements to Ensure Public Notice, Comment, and Approval Prior to Effectiveness of NMS Plan Fees
  • Singapore Exchange Significantly Expands All-Asia Waterfront for Equity Derivatives
  • Australian Securities and Investments Commission Manages Transition to New Regulatory Regime for Litigation Funding Schemes
  • The Supreme People’s Court of the People’s Republic of China issues the Opinions on Providing Judicial Safeguard to the Reform of the ChiNext Board and the Pilot Project of the Registration-based IPO System
  • Officials from Relevant Departments of the China Securities Regulatory Commission Answered Reporter Questions regarding the “Report on Protecting United States Investors from Significant Risks from Chinese Companies” by the U.S. President’s Working Group on Financial Markets
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Financial Services Regulatory Update 2020/08/07

  • The Stock Exchange of Hong Kong Limited Invites Feedback on Proposals to Introduce a Paperless Listing & Subscription Regime, Online Display of Documents and Reduction of the Types of Documents on Display
  • Hong Kong Eastern Magistrates’ Court Convicts and Fines Brilliance Capital Management Limited and Its Director for Unlicensed Activities
  • U.S. Commodity Futures Trading Commission Charges NYMEX and Two Former Employees for Disclosing Material Non-Public Information
  • U.S. Securities and Exchange Commission Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements
  • Pharmaceutical Company and Former Executives Charged with Misleading Financial Disclosures
  • U.S. Securities and Exchange Commission Charges VALIC Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators
  • U.S. Securities and Exchange Commission Charges Trustify Inc. and Founder in US$18.5 Million Offering Fraud
  • U.S. Securities and Exchange Commission Charges Former Georgia State Legislator with Defrauding Investors in Ponzi Scheme
  • U.S. Securities and Exchange Commission Charges CEO and Company with Investors Out of Millions
  • U.S. Securities and Exchange Commission Adopts Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act
  • China Securities Regulatory Commission Intends to Impose Administrative Penalties on Ucar Inc. and Beijing Qwom Digital Technology Co., Ltd. for Violation of Information Disclosure
  • China Securities Regulatory Commission Issues the Opinions on the Application of Articles 28 and 45 of the Administrative Measures for the Material Assets Reorganization of Listed Companies – No.15 Opinions on the Application of Securities and Futures Laws and Guidelines on the Application of Regulatory Rules – No. 1 Listing Class
  • The Supreme People’s Court of the People’s Republic of China issues the Provisions on Several Issues Concerning Representative Litigation in Securities Disputes
  • Shenzhen Stock Exchange Releases the Notice on Corporate Bond Swap Business to Promote the Building of a Market-oriented, Rule-of-law-based Debt Management System
  • Financial Conduct Authority of the United Kingdom Launches Enhanced Financial Services Register to Protect Consumers
  • Financial Conduct Authority of the United Kingdom Consults on New Rules to Improve Open-ended Property Fund Structures
  • Singapore Exchange Pioneers Asia’s First International REIT Futures
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