Financial Services Regulatory Update 2018/09/28

  • 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
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Financial Services Regulatory Update 2018/09/14

  • 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
FS_Regulatory_Update_JML_20180914

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