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