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