U.S. Securities and Exchange Commission Uses Sophisticated Analytical Tools to Ferret Out Investment Professionals Who Abuse their Positions to Engage in Cherry-picking and Other Fraudulent Conduct
The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Tenwow International Holdings Limited (Delisted, Previous Stock Code: 1219) and Nine Directors
The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Five Former Directors of Summi (Group) Holdings Limited (Stock Code: 756)
Hong Kong Securities and Futures Commission and the Securities and Exchange Commission of Thailand Implement the Mutual Recognition of Funds Scheme
Hong Kong Securities and Futures Commission Releases Consultation Conclusions on Proposals to Update Entry Requirements for License Applicants and Upgrade Industry Practitioners’ Competency Standards
Hong Kong Securities and Futures Commission and the Hong Kong Monetary Authority Issue the Joint Consultation Conclusions on the Annual Update to the List of Financial Services Providers under the OTC Derivatives Regulatory Regime
Hong Kong Securities and Futures Commission Reprimands and Fines Deutsche Securities Asia Limited HK$2.45 Million over Incorrect Prime Brokerage Client Statements
U.S. Commodity Futures Trading Commission Charges Former Energy Broker and Its Owner with Misappropriation of Nonpublic Information, Fraud, and Supervision Violations
U.S. Commodity Futures Trading Commission Fines Brazilian Soybean Producer for Reporting Violations
U.S. Commodity Futures Trading Commission Charges a Man and His Company with Forex Fraud
U.S. Securities and Exchange Commission, North American Securities Administrators Association, and Financial Industry Regulatory Authority Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors
U.S. Securities and Exchange Commission Charges Six in Silicon Valley Insider Trading Ring
U.S. Securities and Exchange Commission Charges Issuer with Cybersecurity Disclosure Controls Failures
U.S. Securities and Exchange Commission Charges Initial Coin Offering Issuer and CEO with Fraud and Unregistered Securities Offering
Singapore Exchange Brings Green, Social and Sustainability Bond Data in Asia Pacific to Global Investors
The Financial Conduct Authority of the United Kingdom Consults on Further Climate-Related Disclosure Rules
Australian Securities and Investments Commission Removes the Local Authorized Participant Requirement in Exchange Traded Funds Class Order
Shenzhen Stock Exchange Rolled out the First Rural Revitalization Bonds to Synchronize Poverty Alleviation with Rural Revitalization
Shenzhen Stock Exchange Launches its First Batch of Infrastructure Public Offering REITs
Australian Securities and Investments Commission Clarifies Requirements on Declaration of Dividends During Schemes of Arrangement – Comparison with Hong Kong Requirements – Tightening Loose Regulation in Hong Kong
The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Dongyue Group Limited (Stock Code 189) and Ten Directors
The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Baytacare Pharmaceutical Co., Ltd. (Delisted, Previous Stock Code: 8197), 12 Directors and four Supervisors
The Stock Exchange of Hong Kong Limited Implements Disciplinary Action against Mr. Yu Jian Qiu, Executive Director and Chairman of China Metal Resources Utilization Limited (Stock Code: 1636)
Significant Guidances and Regulatory Initiatives of The Stock Exchange of Hong Kong Limited During the Period from May 28, 2021 to June 11, 2021
Hong Kong Securities and Futures Commission reprimands and Fines Ewarton Securities Limited HK$1.5 Million
The Court of First Instance of Hong Kong Orders Boiler Room Fraudsters to Compensate Investors
The Securities and Futures Appeals Tribunal of Hong Kong Allows Review for Mr. Cai Hongping against the Decision to Ban Him from Re-entering the Industry for Five Years
Market Misconduct Tribunal of Hong Kong Sanctions Mr. Cheng Chak Ngok for Insider Dealing in China Gas Shares
Hong Kong Securities and Futures Commission Suspends Mr. Lun Sheung Nim for 7.2 months
U.S. Commodity Futures Trading Commission Interest Rate Benchmark Reform Subcommittee Recommends July 26 for Transitioning Interdealer Swap Market Trading Conventions from LIBOR to SOFR
U.S. Federal Court Orders a Man to Pay More than US$500,000 for Attempting to Fraudulently Profit From COVID-19
U.S. Securities and Exchange Commission Charges Couple with Insider Trading on Confidential Clinical Trial Data
U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors
Singapore Exchange Welcomes Synergy Futures as Derivatives Trading Member
The Financial Conduct Authority of the United Kingdom Confirms Measures to Protect Customers from the Loyalty Penalty in Home and Motor Insurance Markets
Australian Securities and Investments Commission Commences Civil Proceedings against Shipbuilder Austal Limited for Continuous Disclosure Breach
Shenzhen Stock Exchange Further Implements Fee Cut Policy to Assist in the High-quality Development of Listed Companies
Shenzhen Stock Exchange Decides to Delist *ST Steyr According to Laws
Shenzhen Stock Exchange Strengthens Ex Post Regulation of Annual Reports in the Bond Market with a Focus on Enhancing the Fundamental Goal and Guarding Against Risks