The Stock Exchange Hong Kong Limited Publishes Consultation Conclusions on (i) The Main Board Profit Requirement; and (ii) Review of Listing Rules Relating to Disciplinary Powers and Sanctions on the Same Day as it Publishes a Joint Statement with the Hong Kong Securities and Futures Commission on IPO-related Misconduct
The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Seven Former Directors of Huiyin Holdings Group Limited (Stock Code: 1178)
The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Tech Pro Technology Development Limited (Delisted, Previous Stock Code: 3823) and Seven of its Former Directors
The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of Long Well International Holdings Limited (Stock Code: 850)
U.S. Commodity Futures Trading Commission Orders a Firm to Pay US$500,000 for Wash Sales
U.S. Securities and Exchange Commission Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index
U.S. Securities and Exchange Commission Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud
Singapore Exchange Regulation to Continue to Suspend Entry into Issuers’ Watch-list
The Securities and Futures Fintech Research and Development Center (Shenzhen) Holds 2020 Closing Report and 2021 Opening Report Meeting
Shenzhen Stock Exchange Holds a Forum on Bond Regulation: Improving Information Disclosure Quality and Guarding against Risks
Shenzhen Stock Exchange Releases the 2020 Survey Report on Individual Investors
Shenzhen Stock Exchange’s First Publicly Offered Infrastructure REITs Approved by CSRC for Registration
The Financial Conduct Authority of the United Kingdom Announces Proposals to Stop the Practice of ‘Claims Management Phoenixing’, by Banning Claims Management Companies (CMCs) from Managing Financial Services Compensation Scheme (FSCS) Claims Where They Have a Relevant Connection to the Claim
Australian Securities and Investments Commission Sues AMP for Charging Deceased Customers
Financial Conduct Authority of the United Kingdom Sets Out Proposals to Strengthen its Financial Promotion Rules for High-Risk Investments
The Stock Exchange of Hong Kong Limited Announces the Cancellation of Listing of REXLot Holdings Limited (In Liquidation) (Stock Code: 555)
The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Six Directors of Youyuan International Holdings Limited (delisted, previous Stock Code: 2268)
Hong Kong Securities and Futures Commission Announces the Launch of Grant Scheme for Open-ended Fund companies and Real Estate Investment Trusts
Hong Kong Market Misconduct Tribunal Sanctions China Medical & HealthCare Group Limited and its Directors for Late Disclosure of Inside Information
U.S. Commodity Futures Trading Commission Issues Order of Registration to Mercado Mexicano de Derivados, S.A. de C.V., to Permit Trading by Direct Access from the U.S.
U.S. Securities and Exchange Commission Charges Under Armour Inc. With Disclosure Failures
U.S. Securities and Exchange Commission Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports
U.S. Securities and Exchange Commission Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR
Singapore Exchange Regulation, NUS Business School, KPMG in Singapore Study Shows ESG, Particularly Climate, Important in Key Financial Institutions’ Asset Allocation, Lending and Underwriting
Financial Conduct Authority of the United Kingdom Fines Sapien Capital Ltd for Serious Financial Crime Control Failings in Relation to Cum/ex Trading
Australian Securities and Investments Commission Commences Civil Proceedings against Westpac for Insider Trading
Australian Securities and Investments Commission Takes Court Action to Wind-up PE Capital Funds Management Ltd and Managed Investment Schemes
Shenzhen Stock Exchange Releases Business Guidelines for Review of Stock Issuance and Listing on the ChiNext Board No. 1 – On-site Supervision of Sponsorship Business
Shenzhen Stock Exchange Improves Review Procedures for Mergers and Acquisitions on ChiNext Board
Shenzhen Stock Exchange Initiates Disciplinary Procedures for Steyr’s and Northcom’s Failure to Disclose Periodical Reports on Time
Shanghai Stock Exchange Specifies Key Concerns of Corporate Bond Review