Financial Services Regulatory Update 2018/02/15

  • Hong Kong Monetary Authority’s Revised Guideline on Authorization of Virtual Banks
  • Hong Kong Monetary Authority’s Circular on Distribution of Fixed Income and Structured Products
  • Hong Kong Court Orders Qunxing and Former Directors to Compensate Investors Over Disclosure of False or Misleading Information
  • Hong Kong’s Standing Committee on Company Law Reform Issued its Annual Report
  • Hong Kong Securities and Futures Commission Reprimands and Fines Credit Suisse (Hong Kong) Limited, Credit Suisse Securities (Hong Kong) Limited and Credit Suisse AG $39.3 million for Regulatory Breaches
  • Shenzhen Stock Exchange Optimizing Shareholder Information Disclosure Channels and Deepening Capital Market Service
  • The State Council Information Office of the People’s Republic of China Held Press Conference on Judicial Administration Reform and Other Issues
  • Regulations on Insurance Brokers Published by China Insurance Regulatory Commission
  • The 2018 Work Conference of People’s Bank of China in Beijing
  • U.S. SEC’s Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities

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Financial Services Regulatory Update 2018/02/02

Financial Services Regulatory Update 2018/02/02

  • HKEX Lays Out Key Plans for 2018
  • SEHK Publishes Guidance Letters on Pricing Flexibility for IPOs and Placing Tranche Reallocation in IPOs
  • Hong Kong SFC’s Circular to Licensed Corporations on Best Execution
  • Hong Kong SFC Identifies Compliance Failures in the Distribution of Fixed-income and Structured Products
  • China Securities Regulatory Commission: Pay Close Attention to Outstanding Issues of Speculation of Highly-priced Shares and Concept Companies’ Shares
  • China Securities Regulatory Commission Will Adopt Supervision Measures Against Six Securities Firms and Three Fund Companies
  • Eight Ministries of China Jointly issued the Guiding Opinions on Improving and Strengthening Marine Economic Development in Financial Services
  • Seven Ministries of China Jointly Issued a Circular to Support All Types of Enterprises to Carry Out Market-Oriented Debt-to-Equity Conversion
  • U.S. Securities and Exchange Commission Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices


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