- Hong Kong Securities and Futures Commission Publishes Latest Takeovers Bulletin
- Hong Kong Securities and Futures Commission Concludes Consultation on Securities Margin Financing
- Former Director of DBA Telecommunication (Asia) Holdings Limited Convicted of Issuing False or Misleading Announcement in a Prosecution Brought by Hong Kong Securities and Futures Commission
- Hong Kong Securities and Futures Commission Commences Insider Dealing Prosecution against Legal Adviser
- Hong Kong Securities and Futures Commission Publishes Guidance on Enhanced Disclosures for Green or Environmental, Social and Governance Funds
- Hong Kong Securities and Futures Commission Publicly Criticizes Kwok Tse Wah for Breaches of Code on Takeovers and Mergers
- International Finance Corporation and Hong Kong Monetary Authority Strengthen Commitment to Green and Sustainable Finance Through Groundbreaking Agreements
- Hong Kong Monetary Authority Announces to Launch Enhanced Competency Framework on Credit Risk Management
- Hong Kong Monetary Authority Issues Circular on Qualifying Deferred Annuity Policy
- Hong Kong Monetary Authority Grants the 4th Virtual Banking License
- Insurance Authority of Hong Kong Publishes List of Deferred Annuity Products Qualified for Tax Deduction
- Highlights of the Speech by Hong Kong Privacy Commissioner for Personal Data on Use of Personal Data in Digital Era
- An Insurance Agent Convicted of Using Personal Data in Direct Marketing without Consent Stemming from a Complaint Received by the Office of the Privacy Commissioner for Personal Data, Hong Kong
- U.S. Securities and Exchange Commission and Financial Conduct Authority of the United Kingdom Sign Updated Supervisory Cooperation Arrangements
- U.S. Securities and Exchange Commission Charges Fresenius Medical Care AG & Co KGaA With Foreign Corrupt Practices Act Violations
- U.S. Securities and Exchange Commission Charges Former CEO of Silicon Valley Startup with Defrauding Investors
- Strategic Hub for Innovation and Financial Technology of U.S. Securities and Exchange Commission Publishes Framework for “Investment Contract” Analysis of Digital Assets
- U.S. Securities and Exchange Commission Charges Transportation Company Executives with Accounting Fraud
- U.S. Securities and Exchange Commission Charges Former SeaWorld Associate Inc. General Counsel with Insider Trading
- U.S. Securities and Exchange Commission Brings Actions Against Fifteen Unregistered Brokers for Their Participation in an Illegal Offering of Microcap Securities
- European Commission and Monetary Authority of Singapore Decide to Strengthen Cross-border Derivatives Trading
- Cambodia and Singapore Strengthen Cooperation in FinTech Innovation
- Financial Conduct Authority of the United Kingdom Fines Goldman Sachs International £34.3 million for Transaction Reporting Failures
- Financial Conduct Authority of the United Kingdom Confirms Final Rules for Firms in the Event of a No-deal Brexit
- Financial Conduct Authority of United Kingdom Confirms Permanent Ban on the Sale of Binary Options to Retail Consumers
- Financial Conduct Authority of United Kingdom Begins Regulating Claims Management Companies
- Highlights of Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at Financial Conduct Authority of United Kingdom at London Stock Exchange on Effective Stewardship
- Upper Tribunal Publishes Decision on Linear Investments Limited in Relation to Penalty Imposed by Financial Conduct Authority of the United Kingdom
- Financial Conduct Authority of the United Kingdom Publishes Instructions for Accessing and Downloading Its Financial Instruments Transparency System Files
- Financial Conduct Authority of United Kingdom Warns General Insurance Firms Failing to Consider Value of the Products and Services Provided to Consumers
- Financial Conduct Authority of the United Kingdom Fines Standard Chartered Bank £102.2 million for Poor Anti-Money Laundering Controls
- Shenzhen Stock Exchange Answers Questions from Reporters on the Notice on Adjustment to Transaction Methods for Listed Bonds
- Shenzhen Stock Exchange Answers Questions from Reporters on the Business Guidelines for Credit Protection Instruments and Credit Protection Contracts
- Greater Bay Area Indexes Are Launched to Boost High Quality Development of Greater Bay Area
- Shanghai Stock Exchange Answers Questions on Acceptance of Companies’ Applications for Listing on Science and Technology Innovation Board
- European Securities and Markets Authority Focus on New International Financial Reporting Standards and Non-financial Information
- European Securities and Markets Authority Publishes Translations for Guidelines on Central Counterparty Conflict of Interest Management
- European Securities and Markets Authority Updates Questions and Answers on Market in Financial Instruments Regulation Data Reporting
- Australian Securities and Investments Commission Publishes Report on Consumers Confusing Different Types of Financial Advice
- Australian Prudential Regulation Authority and Australian Securities and Investments Commission Publish World-leading Life Insurance Data
- Australian Securities and Investments Commission Re-issues Practical Guidance for Foreign Financial Services Providers
- Australian Securities and Investments Commission Welcomes Approval of New Laws to Protect Financial Service Consumers
- Financial Conduct Authority of the United Kingdom and Australian Securities and Investments Commission Agree to Strengthen Cooperation Post-Brexit
- International Organization of Securities Commissions Publishes Report on Behavioral Insights Seeking to Enhance Retail Investor Protection
- Cyprus Securities and Exchange Commission Issues Circular on Compliance Officers’ Annual Reports and Internal Audit Reports
- Cyprus Securities and Exchange Commission Outlines the Main Priorities and Supervisory Activities for 2019
- Italian Companies and Exchange Commission Publishes Communication on the Protection of Investors of United Kingdom Financial Intermediaries Operating in Italy After the withdrawal of the United Kingdom from the European Union
- United Arab Emirates Abu Dhabi Global Market Forms Strategic Cooperation with China Hainan Provincial Government on Financial Development and Growth of Hainan Free Trade Zone
- Securities and Exchange Board of India Clarifies Transfer of Securities Held in Physical Mode
- China Securities Regulatory Commission Signs Memorandum of Understanding Regarding Cooperation on Innovation in the Financial Sector with the Autorité des Marchés Financiers
- European Banking Federation Supports the Fight against Financial Fraud & Crime
- Hong Kong Exchanges and Clearing Limited Signs Memorandum of Understanding with Hebei Provincial Government
- Singapore Exchange Pioneers Interest Rate Derivatives on Japan Repo
FS_Regulatory_Update_JML_20190412
PDF Version