Month: January 2021

Financial Services Regulatory Update 2021/01/29

By JML
  • How a Securities Exchange Can Cater to the Modern Needs of Issuer Biodiversity: Story of Rising Popularity of the Global Exchange Market of Euronext Dublin as a Venue of Choice for Debt Listing in Europe
  • Hong Kong Exchanges and Clearing Limited Welcomes Inclusion of STAR Market Stocks into Stock Connect and Further Expansion of Southbound Stock Connect Trading
  • The Stock Exchange of Hong Kong Limited Implements Disciplinary Action Against Sandmartin International Holdings Limited (Stock Code: 482) and Eight of its Current and Former Directors
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Real Nutriceutical Group Limited (Stock Code: 2010)
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Jian ePayments Systems Limited (Stock Code: 8165)
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Flyke International Holdings Limited (Stock Code: 1998)
  • Hong Kong Securities and Futures Commission and the Securities and Exchange Commission of Thailand Sign Memorandum of Understanding on Mutual Recognition of Funds
  • Hong Kong Securities and Futures Commission Issues Restriction Notices to Five Brokers to Freeze Client Accounts Linked to Suspected Market Manipulation
  • U.S. Commodity Futures Trading Commission Charges A Man in Multi-Million Dollar Digital Asset Ponzi Scheme Involving Bitcoin and Ether
  • U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors
  • U.S. Securities and Exchange Commission Charges Vuuzle Media Corp. and Affiliated Individuals in Connection with US$14 Million Offering Fraud
  • Shenzhen Stock Exchange Issues No. 1 Guidelines of Shenzhen Stock Exchange for Securities Investment Fund Business – Index Fund Development
  • Overview of the M&A and Restructuring Market of Shenzhen Stock Exchange in 2020
  • Overview of Refinancing of Listed Companies on the Shenzhen Stock Exchange in 2020
  • Shenzhen Stock Exchange Sign Memorandum of Understanding with Japan Exchange Group to Deepen Cooperation
  • China Securities Regulatory Commission Issued the Guidelines for the Operation of Publicly Offered Securities Investment Funds No. 3 — Guidelines for Index Funds
  • China Securities Regulatory Commission Approves the Establishment of Guangzhou Futures Exchange
  • Shanghai Stock Exchange Reports on Investigation and Handling of Violations of Information Disclosure Non-compliance of Listed Companies on Shanghai Stock Exchange in 2020
  • Shanghai Stock Exchange Issues “Shanghai Stock Exchange Fund Self-regulatory Rules Application Guidelines No. 1- Index Fund Development”
  • Shanghai Stock Exchange Issues the Amendment to the Measures of the Shanghai Stock Exchange for the Implementation of Shanghai-Hong Kong Stock Connect
  • Opening a New Chapter of Cooperation and Opening Up a New Win-Win Situation – Shanghai Stock Exchange and Japan Exchange Group Renewed the Sino-Japanese ETF Exchange Cooperation Agreement
  • Singapore Exchange and Temasek Partner to Advance Digital Asset Infrastructure in Capital Markets
  • Singapore Exchange Reports 1H FY2021 Net Profit of S$228 Million
  • Singapore Exchange Accelerates Sustainability Drive with Launch of ESG Derivatives
  • Financial Conduct Authority of the United Kingdom Reminds Firms to Regularly Review Regulatory Permissions
  • Financial Conduct Authority of the United Kingdom Clamps Down on Consumer Investment Harm
  • Financial Conduct Authority of the United Kingdom Proposes to Introduce Claims Management Companies Fee Price Cap
  • Response of Australian Securities and Investments Commission about Accellion Cyber Incident
  • Australian Securities and Investments Commission Consults on Financial Reporting and Annual General Meeting Deferral Relief for Companies in External Administration

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Financial Services Regulatory Update 2021/01/15

By JML
  • Australian Securities and Investments Commission Convicts a Former Director of Breaching Directors’ Duties (Criminal Offence)
  • The Stock Exchange of Hong Kong Limited Implements Disciplinary Action Against Xinming China Holdings Limited (Stock Code: 2699) and its Executive Director
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of China Huiyuan Juice Group Limited (Stock Code: 1886)
  • Hong Kong Securities and Futures Commission Bans Yung Lap Hong for Life
  • Hong Kong Eastern Magistrates’ Court Sentenced the Company Secretary of China Automation Group Limited to 45 days of Imprisonment for Insider Dealing
  • Hong Kong Court of First Instance Upholds Jail Sentence Against Former GEM-listed Group Finance Manager for Insider Dealing
  • U.S. Commodity Futures Trading Commission Approves NFA’s Swap Dealer Capital Model Review Program
  • U.S. Commodity Futures Trading Commission and ESMA Sign Enhanced MOU Related to Certain Recognized Central Counterparties
  • U.S. Securities and Exchange Commission Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries
  • U.S. Securities and Exchange Commission Charges Real Estate Fund Manager With Misappropriating Over US$7 Million From Retail Investors
  • Stepping up Regulation with Zero Tolerance for Violations – Overview of Shenzhen Stock Exchange’s Disciplinary Punishment in 2020
  • Shenzhen Stock Exchange Deepens Blockchain Cooperation with a Number of Equity Exchanges
  • Promote High-quality Development of Innovation-oriented Enterprises and Startups with Information Disclosure at the Core — Shenzhen Stock Exchange Releases Guidelines for Information Disclosure by the Communications Industry and the Cybersecurity Industry Listed on the ChiNext Board
  • Stepping up Regulation to Continuously Improve Information Disclosure of Listed Companies – Shenzhen Stock Exchange Publishes the Information Disclosure Guidelines for Five Industries Including Food & Liquor Making, Electric Power and Automobile Manufacturing
  • The China Securities Regulatory Commission issued the “Regulations on Strengthening the Supervision of Private Investment Funds”
  • The China Securities Regulatory Commission issued the “Administrative Measures for Convertible Corporate Bonds”
  • Handling Violations of Bond-related Regulations and Safeguarding the High-Quality Development of The Bond Market with the “Zero Tolerance” Policy – The Shanghai Stock Exchange Publicly Condemns Brilliance Group and Relevant Persons Responsible
  • Financial Conduct Authority of the United Kingdom Agrees MoUs with European Authorities in the Areas of Securities, Insurance and Pensions, and Banking
  • Financial Conduct Authority of the United Kingdom Warns Consumers of the Risks of Investments Advertising High Returns Based on Cryptoassets
  • Singapore Exchange Reports Market Statistics for December 2020
  • Singapore Exchange Regulation Enhances Rules on Auditors, Valuers and Valuation Reports
  • Singapore Exchange Appoints Herry Cho as New Head of Sustainability and Sustainable Finance
  • Australian Securities and Investments Commission Approves Variations to the Banking Code of Practice
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