The Stock Exchange of Hong Kong Limited Publishes e-Learning Presentation on Notifiable Transaction Rules Reiterating Guidance on Disclosure of Ultimate Beneficial Owners
The Stock Exchange of Hong Kong Limited announces the Cancellation of Listing of Brightoil Petroleum (Holdings) Limited
The Stock Exchange of Hong Kong Limited announces the Cancellation of Listing of China Yu Yian Holdings Limited
Hong Kong Securities and Futures Commission Reprimands and Fines Goldman Sachs (Asia) L.L.C. US$350 million for Serious Regulatory Failures over 1Malaysia Development Berhad’s Bond Offerings
Hong Kong Securities and Futures Commission suspends Sandra Cheung Wing Yi for 12 months
Hong Kong Securities and Futures Commission consults on climate-related risks in funds
U.S. Commodity Futures Trading Commission Enforcement Division Issues Staff Guidance on Recognition of Self-Reporting, Cooperation, and Remediation
U.S. Commodity Futures Trading Commission and the Bank of England Sign New Memorandum of Understanding for Supervision of Cross-Border Clearing Organizations
U.S. Commodity Futures Trading Commission Issues Advisory on Virtual Currency for Futures Commission Merchants
At Joint Open Meeting, the U.S. Commodity Futures Trading Commission and U.S. Securities and Exchange Commission Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining
U.S. Commodity Futures Trading Commission and U.S. Securities and Exchange Commission Chairmen Sign Joint Letter Establishing Pilot Program Relating to “Bad Actor Disqualification” Provisions of Regulations A and D
U.S. Securities and Exchange Commission Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies
U.S. Securities and Exchange Commission Charges Goldman Sachs with FCPA Violations
U.S. Securities and Exchange Commission Obtains Final Judgment Against Kik Interactive For Unregistered Offering
Questions & Answers on Guidelines of Shanghai Stock Exchange No. 2 for the Application of Self-Regulation Rules for Listed Companies – Standards for Implementation of Disciplinary Actions for Listed Companies
Shenzhen Stock Exchange and China SME Development Fund Co., Ltd Deepen Strategic Cooperation to Jointly Improve the Breadth and Depth of Services for Small and Medium Enterprises
Shenzhen Stock Exchange Launches Pilot Program of Credit Protection Certificates to Further Support the Real Economy
Shenzhen Stock Exchange Releases ChiNext Market Technology and Pharmaceutical Indices to Enrich Index Investing Tools for ChiNext Market
Shenzhen Stock Exchange Strictly Monitors Trading of Convertible Bonds and Warns Investors about Trading Risk
Shenzhen Stock Exchanges Releases Lists of Regulation and Service Items to Optimize Regulation, Promote Services and Clarify Expectations
Shenzhen-Hong Kong ETF Connect Successfully Opened, Enhancing the Integration of Financial Markets in the Guangdong-Hong Kong-Macao Greater Bay Area
Financial Conduct Authority of the United Kingdom Welcomes the Financial Services Bill
The Financial Conduct Authority and the Prudential Regulation Authority of the United Kingdom Fine Goldman Sachs International £96.6m for Risk Management Failures in Connection with 1Malaysia Development Berhad
Financial Conduct Authority of the United Kingdom Censures Aviva Plc for Listing and Transparency Rules Breach
Australian Securities and Investments Commission Released Updated Regulatory Guidance for Share Transfers Using s444GA of the Corporations Act
Australian Securities and Investments Commission Restricts Smiles Inclusive Ltd from Issuing a Reduced-content Prospectus
Singapore Exchange Welcomes GSUM-Titanland as Accredited Issue Manager
Hong Kong Court Declined to Sanction the Scheme of Arrangement in Re Allied Properties (H.K). Ltd [2020] HKCFI 2624
The Stock Exchange of Hong Kong Limited announces the Cancellation of Listing of CW Group Holdings Limited
Hong Kong Securities and Futures Appeals Tribunal Affirms Hong Kong Securities and Futures Commission’s Decision to Ban Lai Voon Wai for Five Years for IPO Sponsor Failures
Hong Kong Securities and Futures Commission Publicly Censures So Yuk Kwan and Imposes a Cold-shoulder Order for Breach of the Code on Takeovers and Mergers
Hong Kong Market Misconduct Tribunal Sanctions CMBC Capital Holdings Limited and Its Former Directors for Late Disclosure of Inside Information
Hong Kong Securities and Futures Commission Warns of Investment Scams on Social Media
U.S. Commodity Futures Trading Commission Charges BitMEX Owners with Illegally Operating a Cryptocurrency Derivatives Trading Platform and Anti-Money Laundering Violations
U.S. Federal Court Orders Affiliate Marketer to Pay More Than US$13.8 Million for Binary Options Fraud
U.S. Commodity Futures Trading Commission Revokes Registrations of Company and its CEO for Fraud and Related Criminal Conviction
U.S. Commodity Futures Trading Commission Orders A Man and His Companies to Pay More Than US$1.2 Million in Forex Trading Scheme
U.S. Securities and Exchange Commission Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
U.S. Securities and Exchange Commission Updates Regulatory Framework for Fund of Funds Arrangements
U.S. Securities and Exchange Commission Charges John McAfee With Fraudulently Touting ICOs
U.S. Securities and Exchange Commission Charges HP Inc. With Disclosure Violations and Control Failures
China Securities Regulatory Commission Approves the First Major Asset Reorganization Registration of a Listed Company on ChiNext Board
Shenzhen Stock Exchange Launches CNI Blue 100 Index to Assist High-quality Development of Maritime Economy
The State Council of the People’s Republic of China Releases the Circular of the State Council on Further Improving the Quality of Listed Companies
Australian Securities and Investments Commission and Volkswagen Financial Services Australia Settle Federal Court Proceeding
Australian Securities and Investment Commission Urges Australian institutions to Adhere to the ISDA IBOR Fallbacks Protocol and Supplement
Financial Conduct Authority of the United Kingdom Publishes Rules That Will Apply at the end of the Transition Period
Financial Conduct Authority of the United Kingdom Assists Innovative Companies in Tackling Coronavirus Challenges
Financial Conduct Authority of the United Kingdom Urges Unauthorized Land Banking Scheme Victims to Get in Touch to Return Funds
Singapore’s First Center of Excellence to Drive Asia-focused Green Finance Research and Talent Development
Monetary Authority of Singapore and Financial Industry Extend Support for Individuals and SMEs Who Need More Time to Resume Loan Repayments
Singapore Exchange Welcomes the Listing of Phillip SGD Money Market ETF, the First of Its Kind in South East Asia
High Court in London Hands Down Judgment in the Financial Conduct Authority’s Insurance Test Case Clarifying Insurance Companies’ Liabilities under Certain Business Interruption Provisions
Hong Kong Securities and Futures Commission Launches Consultation on Anti-money Laundering Guidelines
Hong Kong Securities and Futures Commission Suspends Mung Wai Sun for nine months
Hong Kong Securities and Futures Commission Signs New Memorandum of Understanding with the Insurance Authority
Hong Kong Securities and Futures Commission Reprimands and Fines China Everbright Securities HK$2.5 Million
Hong Kong Securities and Futures Commission Issues Circular on the Electronic Dissemination of Investment Product Documents
U.S. Commodity Futures Trading Commission Charges Precious Metals Dealers in Ongoing US$185 Million Fraud Targeting the Elderly
U.S. Commodity Futures Trading Commission Orders Three Citibank Affiliates to Pay US$4.5 Million for Supervision Failures That Led to Deletion of Subpoenaed Audio Recordings
U.S. Commodity Futures Trading Commission Fines New York and UK-Based Firms for Net Capital Deficiencies
U.S. Securities and Exchange Commission Adopts Amendments to Modernize Shareholder Proposal Rule
J.P. Morgan Securities LLC Admits to Manipulative Trading in U.S. Treasuries
U.S. Securities and Exchange Commission Charges BMW for Disclosing Inaccurate and Misleading Retail Sales Information to Bond Investors
U.S. Securities and Exchange Commission Charges Index Manager and Friend With Insider Trading
China Securities Regulatory Commission Implements Classified Review of Listed Companies’ Refinancing
China Securities Regulatory Commission, People’s Bank of China and State Administration of Foreign Exchange Release the Measures for the Administration of Domestic Securities and Futures Investment by Qualified Foreign Institutional Investors and RMB Qualified Foreign Institutional Investors
Shenzhen Stock Exchange Further Strengthens Regulation on Stock Issuance and Underwriting on ChiNext Board to Give Better Play to the Role of the Market-oriented Resource Allocation Mechanism
Shenzhen Stock Exchange Signs Strategic Cooperation Framework Agreement with Zhuhai Municipal Government to Serve Zhuhai’s Construction into Important Portal in Guangdong-Hong Kong-Macao Greater Bay Area
Shanghai Stock Exchange Responds to Reporters’ Questions on Circular 2, Guideline of the Shanghai Stock Exchange for the Application of the Self-regulatory Rules of Companies Listed on the Science and Technology Innovation Board – Voluntary Information Disclosure
China Securities Regulatory Commission Notifies Wu XX and Others of Suspected Insider Trading of Stocks of Wangfujing Group Co., Ltd.
Financial Conduct Authority of the United Kingdom Publishes Final Findings of General Insurance Pricing Practices Market Study, Promoting Fair Pricing of General Insurance Products
First Firms to Begin Move from Gabriel to the United Kingdom’s New Data Collection Platform, RegData
Australian Securities and Investments Commission and International Organization of Securities Commissions Report on Conflicts of Interest Within Debt Capital Raising Process
Singapore Exchange (SGX) and National Stock Exchange (NSE) Progress on NSE IFSC-SGX Connect