Financial Services Regulatory Update 2021/03/19

  • Enterprise Ireland launches IPO Strategic Finance Program 2021 with Euronext
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Bolina Holding Co., Ltd. (In Liquidation) (Stock Code: 1190)
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of China Assurance Finance Group Limited (Stock Code: 8090)
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Gold-Finance Holdings Limited (Provisional Liquidators Appointed) (Stock Code: 1462)
  • The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Youyuan International Holdings Limited (In Liquidation) (Stock Code: 2268)
  • Market Misconduct Tribunal Sanctions Magic Holdings International Limited and its Directors for Late Disclosure of Inside Information
  • Hong Kong Securities and Futures Commission Reprimands and Fines Sino-Rich Securities & Futures Limited HK$7.2 Million for Breaches of Anti-Money Laundering Regulatory Requirements
  • Hong Kong Securities and Futures Commission Issues Restriction Notices to 15 Brokers to Freeze Client Accounts Linked to Suspected Social Media Ramp-and-Dump Scam
  • Hong Kong Securities and Futures Commission Reprimands and Fines Yardley Securities Limited HK$5 Million for Breaches of Anti-Money Laundering Regulatory Requirements
  • U.S. Commodity Futures Trading Commission Charges Two Individuals with Multi-Million Dollar Digital Asset Pump-and-Dump Scheme
  • U.S. Commodity Futures Trading Commission Charges A Man with Fraud and Misappropriation
  • U.S. Securities and Exchange Commission Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts
  • U.S. Securities and Exchange Commission Charges Unregistered Investment Adviser with Defrauding Investors in Decade-Long Scheme
  • U.S. Securities and Exchange Commission Obtains Emergency Asset Freeze, Charges Trader with Posting False Stock Tweets
  • U.S. Securities and Exchange Commission Charges Fraudster With Selling “Insider Tips” on the Dark Web
  • U.S. Securities and Exchange Commission Charges Co-Founders of Biotech Company With US$60 Million Fraud
  • U.S. Securities and Exchange Commission Charges Owner of Real Estate Investment Company with Defrauding Investors
  • U.S. Securities and Exchange Commission Obtains Emergency Asset Freeze, Charges An Individual with Fraud Involving Sham Bottling Company
  • Shenzhen Stock Exchange Notifies Abnormal Trading of “China Development Bank 2009” and “China Development Bank 2008” to Remind Investors to Trade Rationally
  • Shenzhen Stock Exchange Firmly Implements New Development Philosophy and Launches Sci-Tech Innovation Bonds and Carbon-neutral Special Bonds
  • Shenzhen Stock Exchange Resolutely Fulfills Primary Responsibility of Delisting and Promotes Delisting of KDX in Accordance with Laws and Regulations
  • Shenzhen Stock Exchange Launches 2021 “Investor Service Season” Campaign
  • China Securities Regulatory Commission Issues the Rules of Organization for the Administrative Punishment Committee
  • Questions & Answers on Kangdexin’s Delisting Given by the Spokesperson of China Securities Regulatory Commission
  • Shanghai Stock Exchange Introduces Carbon-Neutral Green Bond, Serving National Strategies and Promoting Green Development
  • Take the China-Central and Eastern European Capital Market Collaboration to the Next Stage: Shanghai Stock Exchange Signs MOU with Belgrade Stock Exchange
  • Singapore Exchange Welcomes Aztech Global Ltd. to Mainboard
  • Singapore Exchange and Marex Spectron Collaborate on Ferrous Analytics Offering
  • Financial Conduct Authority of the United Kingdom Confirms the Increase in Thresholds for Contactless Payments
  • Australian Securities and Investments Commission Cancels Urban Commercial Group’s Australian Credit License
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Financial Services Regulatory Update 2021/03/05

  • Hong Kong Financial Reporting Council Initiates Investigation into Audits of Convoy Global Holdings Limited for 2017 to 2019
  • Hong Kong Monetary Authority’s Comments on Hong Kong’s Under-rated Bond Market and Game Changing Recent Developments
  • Hong Kong Securities and Futures Commission Reprimands and Fines Brilliance Asset Management Limited HK$3.15 Million Over Short Position Reporting Failures
  • Hong Kong Securities and Futures Commission and Financial Reporting Council to Enhance Collaboration
  • Hong Kong Securities and Futures Commission Petitions for the Winding Up of Adamas Asset Management (HK) Limited and Seeks to Appoint Provisional Liquidators
  • Hong Kong Securities and Futures Commission Obtains Disqualification Orders Against Former Senior Executives and Officers of Shandong Molong Petroleum Machinery Company Limited
  • Hong Kong Securities and Futures Commission and Police Joint Operation Against Suspected Ramp-and-Dump Syndicate
  • U.S. Federal Court Sanctions Former Energy Broker for Role in Disclosures of Material Nonpublic Information
  • U.S. Securities and Exchange Commission Charges Two Former KPMG Auditors for Improper Professional Conduct During Audit of Not-for-Profit College
  • U.S. Securities and Exchange Commission Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity
  • U.S. Securities and Exchange Commission Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks
  • U.S. Securities and Exchange Commission Charges Seven Individuals for US$45 Million Fraudulent Scheme
  • Shenzhen Stock Exchange Officially Launches the Technical System for Publicly Offered REITs
  • Shenzhen Stock Exchange Holds Greater Bay Area Infrastructure REITs Development Forum
  • Shenzhen Stock Exchange Unveils the Measures for Transferring the Listing of Companies on National Equities Exchange and Quotations to ChiNext
  • Shenzhen Stock Exchange Spokesperson Answers Reporters’ Questions on the On-site Inspections of Information Disclosure by the First Batch of Enterprises Listed on the ChiNext Board
  • Shenzhen Stock Exchange Optimizes Bond Repo Business to Improve Market Participants’ Sense of Gain
  • China Securities Regulatory Commission Issues the Administrative Measures for the Credit Rating Business of the Securities Market
  • China Securities Regulatory Commission Issues the Administrative Measures for the Issuance and Trading of Corporate Bonds
  • China Securities Regulatory Commission Held a Publicity and Implementation Symposium for Criminal Law Amendment (XI) of the People’s Republic of China
  • China Securities Regulatory Commission Spokesperson Answers Reporters’ Questions on the Situation of Companies which Applied for IPO
  • Shanghai Stock Exchange Spokesperson Answers Reporters’ Questions on the On-site Inspections of Information Disclosure by the First Batch of Enterprises Listed on the Science and Technology Innovation Board
  • Shanghai Stock Exchange issued the Measures for the Transfer of Listed Companies on the National Equities Exchange and Quotations to the Sci-Tech Innovation Board of the Shanghai Stock Exchange (Trial)
  • Singapore Exchange and Euroclear Bank to Launch Orchid Bond Structure
  • Singapore Trading Festival Turns Ideas into Actions with Virtual Summit and Trading Challenge
  • Financial Conduct Authority of the United Kingdom Returns Funds to Victims of Unauthorized Deposit Taking and Collective Investment Schemes
  • Financial Conduct Authority of the United Kingdom Censures Premier FX for Payment Rule Breaches
  • Australian Securities and Investments Commission Sets Five-year Sunset Date for Litigation Funding Legislative Instrument
  • The Monetary Authority of Singapore and The Association of Banks in Singapore Jointly Issued a Paper on Managing the Risks of Remote Working in Financial Institutions
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