The Stock Exchange of Hong Kong Limited Issues FAQ on Treatment of Leases as Impacted by HKFRS / IFRS 16
The Stock Exchange of Hong Kong Limited Introduces E-training for Listed Companies’ Directors
Hong Kong Securities and Futures Commission Issues Circular to Intermediaries on Distribution of Complex and High-risk Products
Hong Kong Securities and Futures Commission Issues Quarterly Report
Hong Kong Securities and Futures Commission Issues Circular on Clearing Amendment Rules – Addition of Eight New Calculation Periods
Hong Kong Securities and Futures Commission Suspends Chan Ho Wai and Lam Wai Kit for Nine Months for Misconduct in Issuing Research Reports
Hong Kong Securities and Futures Commission Bans Kong Kar Bong for 10 Years for Theft and Forgery
Hong Kong Securities and Futures Commission Concludes Consultation on OTC Derivatives and Conduct Risks – Addition of Types 11 and 12 Regulated Activities
Hong Kong Securities and Futures Commission Announces Agreement to Enhance the Exchange of Information under Stock Connect
Hong Kong Securities and Futures Commission Issues Circular in Relation to the Clearing and Record Keeping Rules for the OTC Derivatives Regime – Changes to the List of Persons Designated as Financial Services Providers
Hong Kong Securities and Futures Commission Commences Proceedings in Market Misconduct Tribunal against CMBC Capital Holdings Limited and Its Former Directors for Late Disclosure of Inside Information
Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Review of Internal Controls for the Protection of Client Assets and Supervision of Account Executives
Hong Kong Securities and Futures Commission and China Securities Regulatory Commission Hold High-level Meeting on Enforcement Cooperation
Consensus Reached by Shanghai, Shenzhen and Hong Kong Stock Exchanges on Inclusion of Weighted Voting Rights (WVR) Companies in Southbound Trading of Stock Connect
The GEM Listing Committee of The Stock Exchange of Hong Kong Limited Censures L & A International Holdings Limited and a Number of Its Current and Former Directors for Breaching the GEM Listing Rules and/or the Director’s Undertaking regarding Improper Grant of Options
The Listing Committee of The Stock Exchange of Hong Kong Limited Criticizes Chen Xing Development Holdings Limited for Breaching the Listing Rules and Censures a Number of Its Current Directors for Breaching the Director’s Undertaking regarding Investment in Wealth Management Products
The Listing Committee of Stock Exchange of Hong Kong Limited Censures Shenji Group Kunming Machine Tool Company Limited and a Former Director for Breaching the Listing Rules and/or the Director’s Undertaking regarding Improper Disclosure in Announcements
The Listing Committee of Stock Exchange of Hong Kong Limited Censures Golden Meditech Holdings Limited and Two of Its Directors and The Listing (Disciplinary Review) Committee on Review Criticizes Four of Its Current and Former Directors for Breaching the Listing Rules and/or the Director’s Undertaking regarding Notifiable Transactions
The Stock Exchange of Hong Kong Limited Announces Cancellation of Listing of Anxin-China Holdings Limited
Hong Kong Monetary Authority Issues an Update on the Processing of Virtual Banking Applications
HKMC Annuity Plan Introduces Enhancement Measures and Continuous Sales Model
International Monetary Fund Commends Hong Kong’s Strong Buffers and Robust Policy Frameworks Despite Increasing Global Risks
Insurance Authority of Hong Kong and Office of Insurance Commission of Thailand Sign Memorandum of Understanding
U.S. Securities and Exchange Commission Halts Alleged Insider Trading Ring Spanning Three Countries
Highlights of Speech by Steven Peikin, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission on the Salutary Effects of International Cooperation on Enforcement
Three Broker-Dealers to Pay More Than US$6 Million in Penalties to U.S. Securities and Exchange Commission for Providing Deficient Blue Sheet Data
U.S. Securities and Exchange Commission Charges Agria Corporation and Executive Chairman With Fraud
U.S. Securities and Exchange Commission Charges The Hain Celestial Group with Internal Controls Failures
Three Developers Settle U.S. Securities and Exchange Commission Charges of Fraudulent EB-5 Offering
Executives Settle U.S. Securities and Exchange Commission Charges on Initial Coin Offering Scam
U.S. Securities and Exchange Commission Charges Former New York Investment Advisor and Daughter with Conducting a Ponzi Scheme
Shenzhen Stock Exchange Improves Corporate Bond Regulations to Boost Sound Development of Bond Market
Bank of New York Mellon to Pay More Than US$54 Million to Settle U.S. Securities and Exchange Commission’s Charges for Improper Handling of American Depositary Receipts
U.S. Securities and Exchange Commission Charges Charges Former Panasonic Executives for Breaching Federal Securities Law
Financial Conduct Authority of the United Kingdom Proposes Permanent Measures for Retail Contracts for Difference and Binary Options
Financial Conduct Authority of the United Kingdom Proposes Changes to Facilitate Investment in Patient Capital
Financial Conduct Authority of the United Kingdom Publishes New Rules for Claims Management Companies to Boost Consumer Protection and Professionalism
Financial Conduct Authority of the United Kingdom Publishes Findings on Long-term Mortgage Arrears
Australian Securities and Investments Commission Consults on Measures to Restrict Offers to Retail Investors of Stub-equity in Proprietary Companies
China Securities Regulatory Commission and Hong Kong Securities and Futures Commission Sign Memorandum of Understanding to Enhance Supervisory Cooperation and Exchange of Information of Cross-Boundary Regulated Entities
Hong Kong Securities and Futures Commission and China Securities Regulatory Commission Hold Joint Training on Digital Forensics
Highlights of Speech by Mr. Brian Ho, Executive Director, Corporate Finance of the Hong Kong Securities & Futures Commission, at the 12th Annual Conference of the Hong Kong Investment Funds Association on “Corporate Conduct – Two Years into Front-loaded Regulation”
Highlights of Speech by Mr. Ashley Alder, Chief Executive Officer of Hong Kong Securities and Futures Commission at HKSI Institute Roundtable Luncheon on New Approach to Regulation
Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations and Associated Entities Encouraging the Use of e-STR for Suspicious Transaction Reporting
Hong Kong Securities and Futures Commission Commences Market Misconduct Tribunal Proceedings against Health and Happiness (H&H) International Holdings Ltd and its Chairman for Late Disclosure of Inside Information
Hong Kong Securities and Futures Commission Reprimands and Fines SFM HK Management Limited HK$1.5 Million Over Naked Short Selling
Hong Kong Securities and Futures Commission Concludes Consultation on Amendments to the Code on Unit Trusts and Mutual Funds
Hong Kong Privacy Commissioner for Personal Data Receives Credit Data Breach Notification from TransUnion Limited
Hong Kong Insurance Authority Consults on the Financial and Other Requirements for Licensed Insurance Broker Companies
Hong Kong Insurance Authority Publishes Annual Report 2017-18
Monetary Authority of Singapore Finalized New Regulatory Framework to Enhance Payment Services in Singapore
Monetary Authority of Singapore and Shanghai Municipal Financial Regulatory Bureau Set to Strengthen Financial Linkages
Monetary Authority of Singapore Announces New S$30 Million Grant to Enhance Cybersecurity Capabilities in Financial Sector
Singapore Exchange Regulation Proposes Changes to Listings Review Process and Regulation of Issue Managers
U.S. Securities and Exchange Commission Charges Four in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accounts
U.S. Securities and Exchange Commission Charges Self-Described Promoter with Microcap Market Manipulation Scheme
Two Celebrities Charged by U.S. Securities and Exchange Commission with Unlawfully Touting Coin Offerings
Shanghai Stock Exchange Implements China Securities Regulatory Commission’s Guiding Opinions, Accelerates Revision of Rules for Trading Suspension and Resumption
Shanghai Stock Exchange Continues to Optimize and Improve the Stock Connect Mechanism
Shanghai Stock Exchange Issues New Rules on Compulsory Delisting for Serious Violations
Shenzhen Stock Exchange Severely Cracks down on Illegal Possession of Funds by Controlling Shareholders and De Facto Controllers of Listed Companies
Shenzhen Stock Exchange Holds the 2018 IT Symposium to Promote the Digital Transformation and Development of the Capital Market
Shenzhen Stock Exchange Issues Guidelines Against High-Ratio Bonus Issue and Stock Dividend Distribution
Financial Conduct Authority of United Kingdom Announces New Settlement Internalization Reporting Requirement
Financial Conduct Authority of the United Kingdom Proposes Introduction of Price Cap on Rent-to-Own Firms to Protect Vulnerable Consumers from High Costs
Highlights of Speech by Christopher Woolard, Executive Director of Strategy and Competition at the Financial Conduct Authority of the United Kingdom on Regulation of Cryptoassets
Financial Conduct Authority of the United Kingdom Publishes Decision Notice against Former CEO of Sonali Bank (UK) Ltd for Anti-money Laundering Failings
SIX Swiss Exchange Hosts World’s First Crypto Index ETP Listing by Amun
Australian Securities and Investments Commission Urges Financial Advisers to Ensure Registration by December 31, 2018
Highlights of Speech by Cathie Armour, Commissioner, Australian Securities and Investments Commission on Recent Initiatives to Strengthen Underwriting Standards
Highlights of Speech by Mr. John Price, Commissioner, Australian Securities and Investments Commission on “Whistleblowing – New Rules, New Policies, New Vision”
Hong Kong Securities and Futures Commission Announces Thematic Review of Remote Booking, Operational and Data Risk Management Practices
Hong Kong Securities and Futures Commission Sets Out New Regulatory Approach for Virtual Assets
Highlights of the Speech by Mr. Ashley Alder, Chief Executive Officer of Hong Kong Securities and Futures Commission at Hong Kong FinTech Week 2018 on the Regulatory Response to the Growing Importance of Financial Technology
Hong Kong Court of Final Appeal Unanimously Dismisses Appeal by Solicitor and his Sisters in Fraud Case Brought by Hong Kong Securities and Futures Commission Involving Overseas Listed Securities
The Stock Exchange of Hong Kong Limited Publishes Its Latest Review of Listed Issuers’ Corporate Governance Practices and Updates Its Guidance Material on Environmental, Social and Governance Reporting
Hong Kong Monetary Authority Issues Warnings about Mobile Applications (Apps) on Personal Financial Management
Hong Kong Privacy Commissioner for Personal Data Initiates Enforcement Investigation on Cathay Pacific Airways Limited’s Data Breach Incident
Bank Indonesia and Monetary Authority of Singapore Establish US$10 Billion Bilateral Financial Arrangement
Monetary Authority of Singapore Initiates Business Sans Borders to Foster Small and Medium-sized Enterprises Digitization
Monetary Authority of Singapore Introduces New Fairness, Ethics, Accountability and Transparency Principles to Promote Responsible Use of Artificial Intelligence and Data Analytics
Monetary Authority of Singapore Proposes New Regulatory Sandbox with Fast-Track Approvals
The Bank of Canada, Bank of England and Monetary Authority of Singapore Share Assessment on Emerging Opportunities for Digital Transformation in Cross-border Payments
Singapore Exchange Strengthens Partnerships in China with the Signing of Two Memorandums of Understanding
Singapore Exchange Regulation Proposes Changes to Delisting Rules
Monetary Authority of Singapore and Singapore Exchange Successfully Leverage Blockchain Technology for Settlement of Tokenized Assets
Singapore Exchange to Launch New Securities Settlement and Depository System T+2 Securities Settlement Cycle on December 10, 2018
Bank of China Limited, China Foreign Exchange Trade System & National Interbank Funding Center and Singapore Exchange Sign Strategic Cooperation Agreement on CFETS-BOC Bond Indices
U.S. Securities and Exchange Commission Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
U.S. Securities and Exchange Commission Charges EtherDelta Founder With Operating an Unregistered Exchange
Stock Research Firm and Co-Founders Charged with Deceiving Investors in Supposedly Unbiased Reports by U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics
U.S. Securities and Exchange Commission Charges Giga Entertainment Media, Former Officers and Directors with Fraud in Pay-For-Download Campaign
Two Initial Coin Offerings Issuers Settle U.S. Securities and Exchange Commission’s Registration Charges and Agree to Register Tokens as Securities
Shanghai Stock Exchange Formulates Relevant Business Rules to Support Listed Companies’ Legal Shares Repurchases
Shanghai Stock Exchange and Japan Exchange Group Sign a Memorandum of Understanding on Closer Cooperation to Promote China-Japanese ETF Connect
Financial Conduct Authority of the United Kingdom Launches Cost Transparency Initiative on Charges Payable by Institutional Investors
The United Kingdom’s Upper Tribunal Upholds the Financial Conduct Authority’s Decision to Fine and Ban Former Keydata Investment Services Ltd Executives
European Securities and Markets Authority Launches Call for Evidence on Periodic Auctions for Equity Instruments
European Securities and Markets Authority Consults on Future Guidelines for Money Market Funds’ Disclosure
European Securities and Markets Authority’s Focus on New International Financial Reporting Standards and Non-financial Information in Issuers’ 2018 Annual Reports
Financial Conduct Authority of United Kingdom Fines Liberty Mutual Insurance Europe SE £5.2 Million for Failures in its Oversight of Mobile Phone Insurance Claims and Complaints Handling
Hong Kong Monetary Authority and Monetary Authority of Macao Jointly Promote the Enhanced Competency Framework for Banking Practitioners in Macao
Hong Kong Monetary Authority’s Launch of eTradeConnect and the Collaboration with we.trade
Hong Kong Monetary Authority Promotes in Tokyo Hong Kong’s Leading Platform as an International Financial Center and Gateway of China
Hong Kong Monetary Authority Strengthening the Verification Requirements for Electronic Wallets Setting Up Direct Debit Authorizations
GEM Listing Committee of The Stock Exchange of Hong Kong Limited Censures Sino Splendid Holdings Limited for Breaching the GEM Listing Rules and Censures or Criticizes a Number of its Current Directors for Breaching the Director’s Undertaking
Hong Kong Insurance Authority Consults the Public on Proposed Guideline on Pecuniary Penalties for Licensed Insurance Intermediaries
Hong Kong Insurance Authority Consults on the Maximum Number of Insurers to be Represented by a Licensed Individual Agent or Agency
Monetary Authority of Singapore and China Securities Regulatory Enhance Capital Markets Cooperation
Inaugural Singapore-Chongqing Financial Summit Unlocks Opportunities for Regional Financial and Infrastructure Connectivity
Hong Kong Privacy Commissioner for Personal Data Expresses Serious Concern on Cathay Pacific Airways Data Breach Incident
Hong Kong Privacy Commissioner for Personal Data Releases Research Report to Advocate Respect and Beneficial and Fair Data Ethics Stewardship Management Value and Models
U.S. Securities and Exchange Commission Charges Family Friend of Former Investment Banker with Insider Trading
U.S. Securities and Exchange Commission Charges Investment Adviser with Running US$3.9 Million Fraud
Citibank N.A. Pays More Than US$38 Million to Settle U.S. Securities and Exchange Commission’s Charges of Improper Handling of “Pre-released” American Depositary Receipts
The Listing Committee of The Stock Exchange of Hong Kong Limited Censures NNK Group Limited and a Number of its Current and Former Directors for Breaching the Listing Rules and/or the Director’s Undertaking for Failing to Make Proper Disclosure in Prospectus
The Stock Exchange of Hong Kong Limited’s Announcement in Relation to Cancellation of Listing of China Annual Healthcare Limited
The Stock Exchange of Hong Kong Limited’s Announcement in Relation to Cancellation of Listing of Han Tang International Holdings Limited
Hong Kong Companies Registry Issues Circular on Translation and Certification of Documents under the Companies Ordinance
Securities and Futures Commission of Hong Kong Concludes Consultation on Amendments to Anti-money Laundering and Counter-financing of Terrorism Guidelines
Hong Kong Court of Final Appeal Allows Securities and Futures Commission’s Appeal against Market Misconduct Tribunal’s Decision Regarding Insider Dealing in Asia Telemedia Limited Shares
The Securities and Futures Commission of Hong Kong Concludes Further Consultation on Financial Resources Rules
Indonesia and Singapore Strengthen Cooperation in FinTech
The Securities and Futures Commission of Hong Kong Encourages the Public to Report Fraud and Misconduct
Shenzhen Stock Exchange Signs Strategic Cooperation Agreement to Facilitate Sino-Norwegian Cooperation on Technological Innovation
Shenzhen Stock Exchange Signs Memorandums of Understanding with Moscow Exchange and Warsaw Stock Exchange
Notice on Public Consultation for the Interim Measures Regarding the Listing and Trading of Depository Receipts under the Stock Connect Scheme between Shanghai Stock Exchange and London Stock Exchange
Financial Conduct Authority of the United Kingdom Opens a Discussion on the Impact of Climate Change and Green Finance on Financial Services
U.S. Securities and Exchange Commission Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls
U.S. Securities and Exchange Commission Launches New Strategic Hub for Innovation and Financial Technology
U.S. Securities and Exchange Commission Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers
Highlights of the Speech by Ms. Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of the Hong Kong Securities and Futures Commission, at 2018 Refinitiv Pan Asian Regulatory Summit on Addressing Misconduct in Capital Markets
Hong Kong Securities and Futures Commission Concludes Consultation on the Offline Sale of Complex Products
Hong Kong Securities and Futures Commission Issues Circular to Remind Intermediaries Use of “Nominees” and “Warehousing” Arrangements in Market and Corporate Misconduct
Hong Kong Securities and Futures Commission Froze the Assets of An Unnamed Chairman of a Listed Company on Suspicion of Fraud
Hong Kong Securities and Futures Commission and the Financial Conduct Authority of the United Kingdom Sign Memorandum of Understanding on United Kingdom-Hong Kong Mutual Recognition of Funds
U.S. Securities and Exchange Commission Obtains Final Judgment Against Former Nomura Securities International’s Residential Mortgage Backed Securities Trading Supervisor
Elon Musk Settles U.S. Securities and Exchange Commission Fraud Charges; Tesla Charged with and Resolves Securities Law Charge
China’s Ministry of Finance Issues Renminbi Sovereign Bonds through Central Moneymarkets Unit of Hong Kong Monetary Authority
U.S. Securities and Exchange Commission Charges Stryker Corporation A Second Time for Foreign Corrupt Practices Act Violations
Credit Suisse Securities (USA) LLC Agrees to Pay US$10 Million to Settle U.S. Securities and Exchange Commission’s Charges Related to Handling of Retail Customer Orders
Singapore Exchange Launches New FTSE ST Singapore Shariah Index
Hong Kong Insurance Authority Consults on Proposed Guidelines on (i) “Fit and Proper” Criteria and (ii) Continuing Professional Development Requirements for Licensed Insurance Intermediaries
Monetary Authority of Singapore Issues Guidelines to Facilitate Provision of Digital Advisory Services
Monetary Authority of Singapore’s Cyber Security Advisory Panel Proposes Ways to Enhance Financial Sector Cyber Resilience
Financial Conduct Authority of the United Kingdom Fines Tesco Bank £16.4m for Failures in 2016 Cyber Attack
Highlights of the Speech by Mr. Fang Xinghai, Vice Chairman of China Securities Regulatory Commission, at the FTSE Russell 2018 China A Share Evaluation Results Press Release and Seminar
Hong Kong Monetary Authority Launches Faster Payment System
China’s Amendments to the Individual Income Tax Law and Its Implication for Hong Kong
The Stock Exchange of Hong Kong Limited Issues Consultation Paper on Proposal relating to Trading Suspension of Listed Issuers with Disclaimer or Adverse Audit Opinion on Financial Statements
U.S. Securities and Exchange Commission Charges Biopharmaceutical Company, Executives with Misleading Investors about Cancer Drug
U.S. Securities and Exchange Commission Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
Hong Kong Securities and Futures Commission Reprimands and Fines Huatai Financial Holdings (Hong Kong) Limited HK$800,000 Over Naked Short Selling
Hong Kong Securities and Futures Commission Bans Ngo Wing Chun for Misappropriation of Customer Data upon Change of Employment
Highlights of the Speech by Mr Ashley Alder, Chief Executive Officer of the Hong Kong Securities & Futures Commission at Hong Kong Investment Funds Association Luncheon with Updates on the Commission’s Asset Management Strategy for Hong Kong
Highlights of the Speech by Mr Carlson Tong, Chairman of the Hong Kong Securities & Futures Commission at Hong Kong General Chamber of Commerce Seminar with Updates on the Commission’s New Regulatory Approach to Tackle Corporate Governance Problems And Listed Company Misconduct
Hong Kong Securities and Futures Commission Announces Green Finance Strategic Framework
Singapore Exchange Proposes New “Trade At Close” Session for Securities Market
Petrobras Reaches Settlement with U.S. Securities and Exchange Commission for Misleading Investors
Hong Kong Court of Final Appeal Dismisses Moody’s Appeal Against the Determination of the Securities and Futures Appeals Tribunal on March 31, 2016 which Affirmed the Securities and Futures Commission’s Decision to Reprimand and Fine Moody’s for Breaching the Code of Conduct in its Preparation and Publication of a Special Comment Report in 2011
Hong Kong Securities and Futures Commission Issues Reminder to Intermediaries about Compliance with Notification Requirement under Rule 12.5 of the Code of Conduct
The Hong Kong Monetary Authority Designates Two Retail Payment Systems
Hong Kong Exchanges and Clearing Limited’s US Dollar Gold Futures Receive Approval in Taiwan
The China Securities Regulatory Commission and Relevant Departments Propose to Improve the Share Repurchase System of Listed Companies via Consultation on Amendment to the Company Law of the People’s Republic of China
The Monetary Authority of Singapore Consults on Measures to Strengthen Cyber Resilience of Financial Institutions
U.S. Securities Exchange Commission Awards More Than US$54 Million to Two Whistleblowers
Highlights of the Speech by Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries of Hong Kong Securities and Futures Commission at Hong Kong Chinese Enterprises Association Seminar with Update on the Commission’s Supervision Approach
Hong Kong Financial Services Development Council’s Response to the Securities and Futures Commission’s Consultation on Anti-Money Laundering and Counter-Terrorist Financing Guidelines
Launch of Investor Identification System for Northbound Trading under Mainland-Hong Kong Stock Connect
Hong Kong Exchanges and Clearing Limited Announces Details of Launch of the Investor Identification Model for Northbound Trading through its Mutual Stock Market Access Program with the Exchanges in Shanghai and Shenzhen on September 17, 2018
The Hong Kong Securities and Futures Commission Reprimands and Fines HPI Forex Limited HK$2 Million for Regulatory Breaches
The Stock Exchange of Hong Kong Limited Publishes Frequently Asked Questions on Listing Regime for Companies from Emerging and Innovative Sectors
Hong Kong Securities and Futures Commission’s Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter Financing of Terrorism (AML/CFT) – AML/CFT Measures and Controls Inspection Findings
The Stock Exchange of Hong Kong Limited Publishes Conclusions from its Consultation on Exempting Aircraft Leasing Activities from its Notifiable Transactions Rules
Hong Kong Securities and Futures Commission Bans Fonia Kwok Lai Kwan for 12 Months Following her Conviction for Unlicensed Asset Management
Hong Kong Monetary Authority Welcomes the Full Implementation of Delivery versus Payment (DvP) Settlement in Bond Connect
China Securities Regulatory Commission Publishes (1) Decision on Amending Administrative Measures for Securities Registration and Settlement and (2) Decision on Amending Measures for the Administration of Equity Incentives of Listed Companies
China Securities Regulatory Commission Launches Administrative Measures for Foreign-Funded Futures Companies
Monetary Authority of Singapore and Singapore Exchange Partner Anquan, Deloitte and Nasdaq to Harness Blockchain Technology for Settlement of Tokenized Assets
U.S. Securities and Exchange Commission Adopts Amendments to Simplify and Update Disclosure Requirements
Merrill Lynch Settles U.S. Securities and Exchange Commission’s Charges of Undisclosed Conflict in Advisory Decision
Hong Kong Insurance Authority and China Banking and Insurance Regulatory Commission Implement Preferential Treatment to Promote the Development of Hong Kong Reinsurance Industry
Circular on Hong Kong Securities and Futures Commission Disciplinary Fining Guidelines
The Stock Exchange of Hong Kong Limited Publishes Consultation Paper on Review Structure in Relation to Listing Committee Decisions
Hong Kong Monetary Authority Reprimands and Fines Shanghai Commercial Bank Limited for Contraventions of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
Hong Kong Securities and Futures Commission Bans Cham Nga Yin for Life
Hong Kong Market Misconduct Tribunal Finds China AU Group Holdings Limited’s Former CEO and Related Persons Culpable of Market Manipulation
Singapore Exchange Welcomes the Listing of Asia’s First Infrastructure Project Finance Securitization Notes
Monetary Authority of Singapore Accepts Recommendations from Corporate Governance Council and Issues Revised Code of Corporate Governance
U.S. Securities and Exchange Commission Charges Mizuho Securities USA LLC for Failure to Safeguard Customer Information
Highlights of the Speech by the Secretary for Financial Services and the Treasury Bureau of Hong Kong at Asia Pacific Loan Market Association Annual Syndicated Loan Market Conference
Highlights of the Speech by the Secretary for Financial Services and the Treasury Bureau of Hong Kong at 2018 Annual Conference of In-House Lawyers
Highlights of the Speech by the Secretary for Financial Services and the Treasury Bureau of Hong Kong at 17th Hong Kong Venture Capital and Private Equity Association China Private Equity Summit
Hong Kong Monetary Authority Launches Open Application Programming Interface Framework for the Banking Sector
The Listing Committee of The Stock Exchange of Hong Kong Limited Criticizes Sre Group Limited for Breaching the Exchange Listing Rules, and Censures A Former Executive Director and Chairman, Mr. Shi Jian, for Breaching the Exchange Listing Rules and The Director’s Undertaking
U.S. Securities and Exchange Commission Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
U.S. Securities and Exchange Commission Charges Deutsche Bank AG for Improper Handling of American Depositary Receipts Singapore Exchange Proposes to Enhance Default Management Capabilities of Derivatives and Securities Clearing Houses
U.S. Securities and Exchange Commission Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems
Singapore Exchange Enables Listing at Earlier Development Stage for Mineral, Oil and Gas Companies
Singapore Exchange Regulation Pte. Ltd. Reprimands Dapai International Holdings Co. Ltd., Executive Chairman Chen Xizhong, Former Chief Executive Officer Chen Yong and Former Chief Financial Officer Lawrence Lam Pong Sui for Breaches of Listing Rules and Delisted the Company
Singapore Securities Industry Council Consults on Amendments to Singapore Code on Take-Overs and Mergers to Clarify its Application to Companies with a Dual Class Share Structure
Hong Kong Securities and Futures Commission Implements Open-ended Fund Companies Regime
Hong Kong Securities and Futures Commission Publicly Censures Liang Guosheng and Imposes A Cold-Shoulder Order for Breach of the Takeovers Code
The Stock Exchange of Hong Kong Limited Publishes Corporate Governance Code Consultation Conclusions and Guidance for Boards and Directors
Hong Kong Securities and Futures Commission Issues Circular to Licensed Corporations on Internal Models Approach for Market Risk
Hong Kong Securities and Futures Commission Cautions Against Disguised Margin Financing
Hong Kong Securities and Futures Commission Consults on Amendments to Anti-money Laundering and Counter-terrorist Financing Guidelines
Hong Kong Securities and Futures Commission Reprimands and Fines CCB International Capital Limited HK$24 Million for Sponsor Failures
Hong Kong Securities and Futures Commission Reprimands and Fines Citigroup Global Markets Asia Limited HK$4 Million for Alternative Liquidity Pool FailuresHong Kong Securities and Futures Commission Amends the Codes on Takeovers and Mergers and Share Buy-backs
Hong Kong Securities and Futures Commission Reprimands and Fines HSBC Broking Securities (Asia) Limited HK$9.6 Million for Regulatory Breaches Over Bond Sale
Hong Kong Exchanges and Clearing Limited and Mainland Exchanges Agree on Adjusting Inclusion Arrangements For Eligible Securities Under Stock Connect’s Southbound Trading
The Stock Exchange of Hong Kong Limited Updates and Streamlines Some of Its Guidance Materials Relating to Guidance Letters and Frequently Asked Questions
The Stock Exchange of Hong Kong Limited Publishes Guide on Listing New Structed Products
HKMC Annuity Limited Launches Annuity Plan
Hong Kong Companies Registry Announces Introduction of Open-ended Fund Company Structure
US Securities and Exchange Commission Charges Credit Suisse Group AG with Foreign Corrupt Practices Act Violations
US Securities and Exchange Commission Charges Attorney and Law Firm Business Manager with Illegal Sales of UBI Blockchain Internet Stock
The Bank of England, Prudential Regulation Authority and Financial Conduct Authority Publish Discussion Paper on Building the Financial Sector’s Operational Resilience
Singapore Exchange Proposes to Recalibrate Financial and Capital Requirements of Bank and Remote Members
SIX Swiss Exchange Launches Full End-to-end and Fully Integrated Digital Asset Trading, Settlement and Custody Service
The Stock Exchange of Hong Kong Limited Issues Guidance Letter to Facilitate IPOs of Internet-related Companies
The Stock Exchange of Hong Kong Limited Seeks Views on Proposed Rule Changes Relating to Backdoor Listing, Continuing Listing Criteria and Other Rule Amendments
The UK Financial Services and Markets Act 2000 (Prospectus and Markets in Financial Instruments) Regulations 2018 Come into Effect
US Securities and Exchange Commission Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
US Securities and Exchange Commission’s Chief Accountant Remarks on “Advancing the Purpose and Promise of Those Involved in Financial Reporting”
Hong Kong Securities and Futures Commission Commences Market Misconduct Tribunal Proceedings Against China Forestry’s Former Chairman and CEO
DBA Telecommunication (Asia) Holdings Limited Convicted for Making False or Misleading Statement in Results Announcement upon Prosecution Brought by Hong Kong Securities and Futures Commission under Section 384 of the Securities and Futures Ordinance
Hong Kong Monetary Authority and Securities and Futures Commission Conclude Consultation on Further Enhancements to the OTC Derivatives Regulatory Regime
Singapore Exchange Launches Rules for the Listing of Companies with Dual Class Shares
China Shenzhen Stock Exchange Pays Heightened Attention to the Risk of Stock Pledges of Shenzhen-listed Companies
Hong Kong Monetary Authority’s Revised Guideline on Authorization of Virtual Banks
Hong Kong Listing Rules Amended to Make Delisting Framework More Effective
Hong Kong Securities and Futures Commission Reprimands and Fines Hang Seng Investment Management Limited HK$3 Million for Regulatory Breaches over Funds’ Cash Management
Hong Kong Stock Exchange Publishes Results on its Review of Listed Issuers’ Financial Reports
The People’s Bank of China has Decided to Expand the Scope of Medium-term Lending Facility Collaterals to Include, Among Others, High-quality Small and Micro Enterprise Loans and Green Loans
China’s Guiding Opinions on Further Regulating Services Concerning Sale and Redemption of Money Market Funds on the Internet
European Securities and Markets Authority Issues Final Guidelines on MiFID II Suitability Requirements
Singapore and India Advance in FinTech Cooperation
Monetary Authority of Singapore Proposes to Simplify Rules to Improve Business Flexibility for Market Operators
Hong Kong Stock Exchange Reviews Listed Issuers’ Implementation of ESG Reporting Guide
Hong Kong’s Securities and Futures Commission Concludes Consultation on Prescribing Professional Investors
Hong Kong’s Securities and Futures Commission Concludes Consultation on New Securities and Futures (Open-ended Fund Companies) Rules and Code on Open-ended Fund Companies
Hong Kong’s Securities and Futures Commission Concludes Consultation on Disclosure Requirements for Discretionary Accounts to Make it Easier for Investors to Compare Benefits Which Discretionary Account Managers will Receive from Product Issuers
Hong Kong’s Securities and Futures Commission Publishes Second Issue of “Regulatory Bulletin: Listed Corporations” on its Real-time Regulation Over Securities Issuances
The European Union’s General Data Protection Regulation Came into Force on May 25, 2018 – How Would This Affect Businesses Outside the European Union?
Brett Redfearn, U.S. SEC’s Director, Division of Trading and Markets, Comments at the FINRA Annual Conference on “How Should a Financial Professional Provide Advice in the Face of Conflicts?”
The Securities and Exchange Board of India Proposes “Group” Governance Committee for Implementing Effective Corporate Governance Throughout a Listed Group of Companies
Hong Kong’s New Era of Economic Integrity Based Supervision of Capital Raising
Hong Kong Monetary Authority Issues Guidelines on Application of Financial Technology in Personal Lending Business
Hong Kong Securities and Futures Commission Issues Circular to Intermediaries Regarding Client Orders Received Through Instant Messaging
Hong Kong Launches Pilot Bond Grant Scheme – The Significance of Developing the Bond Market and The Hong Kong Monetary Authority’s Efforts
Does Hong Kong Fall Behind in the Development of Sharing Economy?
