- Market Misconduct Tribunal Fines Fujikon, its Chief Executive Officer and Chief Financial Officer HK$1.5 Million in Total for Late Disclosure of Inside Information Following Proceedings Brought by Hong Kong Securities and Futures Commission
- Hong Kong Securities and Futures Commission Reprimands and Fines Nine Masts Capital Limited HK$1.2 million over Naked Short Selling
- Hong Kong Securities and Futures Commission Bans Former Responsible Officer of Guosen Securities (HK) Brokerage Company Limited for 10 Months
- Hong Kong Monetary Authority and Securities and Futures Commission Adopt a Coordinated Approach to Supervise Banks and Licensed Corporations
- Hong Kong Monetary Authority Issues Circular on Introduction of Tiered Account Services
- Hong Kong Monetary Authority and China Export & Credit Insurance Corporation Sign Memorandum of Understanding on Infrastructure Financing Facilitation
- U.S. Securities and Exchange Commission Charges Former Woodbridge Group of Companies LLC Directors of Investment with Fraud
- Silicon Valley Company Settles U.S. Securities and Exchange Commission’s Fraud Charge for Misstating Returns to Investors
- Monetary Authority of Singapore Reprimands Mr Tan Choon Wee for the Omission of Information in a Capital Markets Services License Application and Failing to Discharge his Duty and Function as Chief Executive Officer and Director
- Monetary Authority of Singapore Responses to Inquiries on Retail Bonds
- Institute of Banking and Finance Singapore-Monetary Authority of Singapore Study Identifies Skills for More Competitive Financial Sector Workforce
- Financial Conduct Authority of the United Kingdom Updates on Brexit Delay
- Financial Conduct Authority of the United Kingdom Sets out its Priorities for 2019/20
- Highlights of Speech by Andrew Bailey, Chief Executive of Financial Conduct Authority of United Kingdom, at Bloomberg, London on the Future of Financial Conduct Regulation
- China Financial Futures Exchange Further Adjusts Rules for Stock Index Futures Trading
- Australian Securities and Investments Commission Warns of Some Australian Financial Service Licensees Breaking Overseas Laws
- Australian Securities and Investments Commission Surveys Highlight Continued Growth in Innovative Funding Platforms
- Citigroup Refunds Over AUD3 Million to Clients Following an Australian Securities and Investments Commission Investigation
- Australian Securities and Investments Commission Warns Trustees about Protecting Your Super Laws and Provides Guidance for Consumers
- New Zealand Changes the Financial Advice Regulations
- German Federal Financial Supervisory Authority Signs New Memorandum of Understanding with Prudential Regulatory Authority and Financial Conduct Authority of the United Kingdom to Regulate Supervisory Cooperation after Brexit
- Italian Companies and Exchange Commission Approves 2019-2021 Three-year Strategic Plan
- United Arab Emirates Abu Dhabi Global Market Strengthens Regulatory Supervision with Enhanced Anti-Money Laundering Regime
- Dutch Authority for the Financial Markets Takes National Measures to Prohibit Binary Options and Restrict the Marketing or Sales of Contract for Difference
- Swiss Financial Market Supervisory Authority Joins the Network for Greening the Financial System
- Canadian Securities Administrators Signs Co-operation Agreement with Financial Conduct Authority of the United Kingdom
- U.S. Commodity Futures Trading Commission Charges Foreign Exchange Trading Firms and Principals in US$75 Million Fraud
- China and Japan Sign ETF Connectivity Agreement at Capital Markets Forum in Shanghai
- European Banking Authority Publishes Opinion on the Nature of Passport Notifications for Agents and Distributors of E-money
- Hong Kong Mortgage Corporation Limited and China Export & Credit Insurance Corporation Sign Memorandum of Understanding on Infrastructure Financing Co-operation
- Cayman Islands Launches Public Consultation on Amendment to Securities Law
- Privacy Commissioner for Personal Data, Hong Kong Releases Shopping Mall Membership Programs Compliance Checks Report
- SIX Swiss Exchange and Shanghai Stock Exchange Sign an Updated Memorandum of Understanding
- Shanghai Stock Exchange Releases its 2018 Social Responsibility Report
- Shenzhen Stock Exchange and Stock Exchange of Thailand Sign Memorandum of Understanding on SME Capital Market Service
FS_Regulatory_Update_JML_20190426
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