Financial Services Regulatory Update 2018/03/30

  • Hong Kong Regulators Consult on Further Enhancements to the Over-The-Counter Derivatives Regulatory Regime
  • The Hong Kong Securities and Futures Commission’s Regulatory Action Halts Initial Coin Offer to Hong Kong Public
  • The Hong Kong Securities and Futures Commission Identifies Continued Deficiencies in Sponsor Work
  • Hong Kong’s Requirement for Publication of Full Property Valuation Reports on the Stock Exchange Website When Summary Valuation is Included in Takeovers Code Document
  • The Hong Kong Securities and Futures Commission Concludes Consultation on Online Platforms and Further Consults on Offline Requirements for Complex Products
  • Hong Kong Stock Exchange’s Guidance on Why the Exchange Returned Certain Listing Applications (HKEX-LD119-2018)
  • Hong Kong Stock Exchange’s Guidance on Why the Exchange Returned Certain Listing Applications (HKEX-LD120-2018)
  • HKMA’s Enhanced Competency Framework on Anti-Money Laundering and Counter-Financing of Terrorism
  • HKMA’s Implementation Guidance on Securitization Framework under Banking (Capital) Rules
  • Notice on The Publication of Guidelines for the Employees’ Performance in Banking Financial Institutions Issued by China Banking Regulatory Commission
  • India’s Changing Financial Landscape
  • U.S. Securities and Exchange Commission Stops Ponzi-Schemer Targeting Retail Investors and Obtains Preliminary Injunction and Asset Freeze
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Financial Services Regulatory Update 2018/03/16

  • The Japanese Financial Service Agency’s Summary Points from Strategic Directions and Priorities 2017-2018
  • China Banking Regulatory Commission’s Opinion on Further Supporting the Innovation of Capital Instruments of Commercial Banks
  • The Hong Kong Securities and Futures Commission and The Stock Exchange of Hong Kong Sign Addendum to Memorandum of Understanding Governing Listing Matters
  • Third SFC Regulatory Forum Discusses Hong Kong’s Competitiveness
  • The Hong Kong Securities and Futures Commission Publicly Criticizes Nomura International (Hong Kong) Limited and Lee Yuen Yee, Annisa for Breaches of the Takeovers Code in Publishing Irregular Research Reports During a Potential Offer
  • Monetary Authority of Singapore Imposes Anti-Money Laundering and Counter-Terrorist Financing Requirements on the Intermediaries of Virtual Currencies
  • Monetary Authority of Singapore Promotes Responsible Recruitment in the Financial Advisory Industry
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Financial Services Regulatory Update 2018/03/02

  • SEHK Launches Director Training Webcast on IPOs
  • HKMA’s Amendments to “Guideline on Anti-Money Laundering and Counter-Terrorist Financing”
  • Hong Kong SFC’s Enforcement Priorities for 2018
  • Hong Kong Court Orders Titan’s Former Senior Executive and His Mother to Make Payments to Investors Over Insider Dealing in Titan Shares
  • Hong Kong SFC Obtains Disqualification and Compensation Orders Against Former Chairman and Directors of Starlight Culture Entertainment Group
  • SEHK’s Consultation Paper Seeking Public Feedback on Proposed New Rules to Expand Hong Kong’s Listing Regime for Emerging and Innovative Companies
  • New Hong Kong Requirements for Companies to Keep Significant Controllers Registers Commence Operation
  • New Hong Kong Licensing Regime for Trust or Company Service Providers Commences Operation
  • Notice of China Insurance Regulatory Commission Regarding the Issuance and Publication of Guideline Against Insurance Fraud
  • Singapore’s MAS Proposes Regulations on the Trading of OTC Derivatives in Organized Markets
  • U.S. SEC Charges Former Bitcoin-Denominated Exchange and Operator With Fraud
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